News & Analysis as of

Foreign request for legal assistance disclosable

The appellant companies successfully sought inspection of a mutual legal assistance request from the U.S. Department of Justice to the National Crime Agency (NCA) to obtain a prohibition order from an English court on the...more

Settlement of Calma v. Templeton Provides Guidance on Setting Director Pay

In response to recent lawsuits by the plaintiffs’ bar, I have previously posted about why public company employers may wish to consider adding a separate annual limit on non-employee director equity awards. Just last month...more

Five on Friday – Five Recent Developments that We’ve Been Watching Closely: October 2016

It’s Friday and time for another overview of developments in the field of business and human rights that we’ve been monitoring. This week’s post includes: an important decision by the Supreme Court of British Columbia...more

PUT YOUR DOCS WHERE I CAN SEE THEM: Seattle Police Enjoined From Disclosing Software Secrets in Public Records Act Dispute

What happens when trade secret protections collide with laws granting public access to government records? This question took center stage in a recent case involving the Seattle Police Department (“SPD”). A federal district...more

Court Of Chancery Explains When To Expedite Disclosure Claims

This decision is helpful in clarifying that claims alleging disclosure violations in a proxy statement need to be pressed before a merger closes. ...more

Advertising Law - September 2016 #4

CARU: Sponsored Videos Need Clear, Prominent Audio Disclosures - Taking a stand on social media influencers and the “unboxing” video trend, the Children’s Advertising Review Unit (CARU) recommended that popular YouTube...more

FTC Holds Workshop on Effective Consumer Disclosures

The Federal Trade Commission (FTC) held a workshop last week on the effectiveness of consumer disclosures. Titled “Putting Disclosures to the Test”, the workshop featured a series of presentations on recent academic,...more

Principal Deputy Associate Attorney General Bill Baer’s Remarks Elaborate on Meaningful Cooperation

In his recent remarks at the Society of Corporate Compliance and Ethics Conference on September 27, 2016, Principal Deputy Associate Attorney General, Bill Baer (“Baer”), explained the common characteristics of meaningful...more

Caution with Hyperlinks and Info-Hovers: Court Denies DIRECTV’S Motion for Partial Summary Judgment

Are hyperlinked and hovering disclosures enough to adequately inform consumers about the terms of your offer? Is requiring consumers to click on a button to accept all terms and conditions enough to obtain their informed...more

Beyond “Clear and Conspicuous”: FTC Workshop Highlights Issues Related to Testing of Consumer Disclosures

On advertisements, websites, and legal documents, disclosures are everywhere. But how do consumers notice, understand, and use disclosures in their decision-making? And how can businesses and advertisers effectively design...more

Department of Education Issues New Guidance on Disclosure of Student Medical Records

The Family Policy Compliance Office at the U.S. Department of Education (the Department) recently released "significant guidance" on the application of the Family Educational Rights and Privacy Act (FERPA) to the release of...more

To Disclose or Not To Disclose, That Is The Question

In connection with a private offering of securities the issuer will provide potential investors with some form of disclosure document. Regardless of what type of offering it is (e.g. Rule 506, Title III, Intrastate, or other...more

OCIE Announces Adviser Supervision Practices Initiative

On September 12, 2016, OCIE published a National Exam Program Risk Alert announcing an initiative to examine the supervision practices of registered investment advisers (“RIAs”) that employ individuals with a history of...more

Hyperlinking to Exhibits

Earlier this week, as part of the continuing Disclosure Effectiveness initiative, the SEC released a proposed rule for comment that would require registrants that file registration statements and periodic and current reports...more

Access to College-Age Child's Health Care Information in a Medical Emergency

It’s hard to imagine what could be more frightening to a parent than to hear his or her child has experienced a medical emergency. But what if your child’s doctor refuses to speak with you about your child’s illness or...more

The Insurance Act 2015 came into effect on Friday – a brief primer before you renew or buy a new policy

The Insurance Act 2015 (the Act) came into force on 12 August 2016, introducing major changes in English law in relation to insurance and all forms of reinsurance. It applies to all contracts of insurance and reinsurance...more

A Call to Action: Leading Executives Issue “Commonsense Principles of Corporate Governance”

Citing the importance of publicly owned companies to the U.S. economy, a group of thirteen leading executives issued a set of principles, on July 21, 2016, outlining their vision for the critical elements of good corporate...more

OCIE Gives Advisers a Heads-Up About Its Latest Sweep Examination Initiative

Last week, OCIE published a National Exam Program Risk Alert highlighting the staff’s focus on advisers’ responsibility to act consistently with their clients’ best interests. According to OCIE, its latest sweep examination,...more

New Amendments to SEC's Rules of Practice in Administrative Proceedings

On July 13, 2016, the U.S. Securities and Exchange Commission (SEC) adopted several amendments to its Rules of Practice regarding administrative proceedings. The amendments address, among other things, the timing of...more

SEC Amends Rules for Administrative Proceedings

The SEC has approved a final rule amending its rules of practice for administrative proceedings. Among other things, the final rules would adjust the timing of administrative proceedings and give parties additional...more

New York Federal Court Holds That Audit Firm’s Review Of TPA Is Attorney Work Product

In a case upon which we have reported on January 6, 2016, and November 24, 2015, a New York federal district court held that the work of an audit firm hired to review the billing practices of a third-party administrator...more

New York and North Carolina Take a Narrow Approach to Common Interest Doctrine

Brief Summary - The "common interest doctrine" generally protects attorney-client communications, even if such communications are disclosed to a third party, as long as the third party shares a common legal interest with...more

MAR for AIM Companies

The Market Abuse Regulation (MAR) has direct effect as law in the United Kingdom from 3 July 2016. MAR extends the market abuse framework and its disclosure obligations to AIM companies. The key obligations relate to inside...more

MAR for GDR Issuers

The Market Abuse Regulation (MAR) has direct effect as law in the United Kingdom from 3 July 2016. Broadly, it replaces the current regime in relation to the disclosure of and delaying the disclosure of inside information and...more

MAR for Premium Listed Issuers

The Market Abuse Regulation (MAR) has direct effect as law in the United Kingdom from 3 July 2016. Broadly, it replaces the current regime in relation to the disclosure of and delaying the disclosure of inside information,...more

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