News & Analysis as of

Employer Liability Issues Insider Trading

Robins Kaplan LLP

Financial Daily Dose 1.8.2020 | Top Story: Speaker Company Sonos Sues Google for Patent Infringement

Robins Kaplan LLP on

Home speaker maker Sonos has sued Google, accusing the company of “infringing on five of its patents, including technology that lets wireless speakers connect and synchronize with one another.” Sonos had originally partnered...more

Latham & Watkins LLP

Are Your Employees Trading Bitcoin? Addressing Cryptocurrencies in Compliance Policies

Latham & Watkins LLP on

How should broker-dealers, investment advisers, and other registered firms in the US, UK, and Hong Kong address cryptocurrencies in their compliance programs? Originally published on bloombergbna.com on April 16, 2018. ...more

Dorsey & Whitney LLP

Quirky Question #285: Potholes on the Ethical “High Road”

Dorsey & Whitney LLP on

Question: We learned that some of our employees may have been engaging in unethical, and perhaps even illegal, behavior. We don’t tolerate this, so we hired a law firm to conduct an investigation, and based on the results...more

Morrison & Foerster LLP

SEC Charges Broker-Dealer for Failure to Protect Against Insider Trading by Employees

The Securities and Exchange Commission for the first time brought charges against a broker-dealer for failure to adequately protect against insider trading by its employees. The charges stem from a broker’s use of a...more

NAVEX

Overheard at the Airport: Material, Non-Public Information

NAVEX on

I was recently in a business lounge at the airport in Atlanta, and was amazed to be bombarded by executives on their cell phones loudly conducting business. Sitting within earshot, I learned that a large manufacturer...more

NAVEX

Making the Most of Compliance and Ethics Week

NAVEX on

This week, ethics and compliance departments at organizations across the country will celebrate Corporate Ethics and Compliance Week, an opportunity to highlight the essential connection between business integrity and ethics....more

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