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Negligence › Compliance

Proskauer - The Capital Commitment

Not Off the Hook: The SEC Addresses its Position on Exculpation And Indemnification For Private Fund Advisers

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In its final Private Fund Adviser Rules adopted last year, the SEC dropped one of the more controversial proposed rules—the proposal to prohibit contractual exculpation or indemnification provisions that would shield or...more

Dechert LLP

Dechert Re:Torts - Issue 14

Dechert LLP on

A Prescription for Liability: Michigan Repeals Flagship Drug Immunity Law - Michigan’s recent repeal of immunity provisions under its Product Liability Act has potentially significant implications for pharmaceutical...more

Lowenstein Sandler LLP

The SEC’s Private Fund Adviser Rules Explained — Part 1: The Restricted Activities Rule

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On August 23, 2023, the U.S. Securities and Exchange Commission (SEC) adopted new and amended rules under the Investment Advisers Act of 1940, as amended (the Advisers Act), to address what it perceives as certain conflicts...more

Wiley Rein LLP

CFIUS Releases First-Ever Enforcement and Penalty Guidelines

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On October 20, 2022, the Department of the Treasury (Treasury), which chairs the Committee on Foreign Investment in the United States (CFIUS), released the first-ever CFIUS Enforcement and Penalty Guidelines (the Guidelines)....more

Rivkin Radler LLP

New Executive Orders Aid OPWDD Facilities amid COVID-19

Rivkin Radler LLP on

In our prior bulletin, we discussed the likely lack of civil immunity from Justice Center enforcement actions conferred in other contexts by Executive Order 202.10. However, other Executive Orders provided some relief in the...more

Thomas Fox - Compliance Evangelist

#itjustexploded and Ben Franklin

Thomas Fox - Compliance Evangelist on

We had two sports events last week that may well provide some unique insights for the compliance practitioner. The first sports issue was that of the exploding shoe of Duke basketball player Zion Williamson....more

Troutman Pepper

Federal Court in New York Applies Scope of Duty Analysis in Deciding Claim for Architectural Malpractice

Troutman Pepper on

Wax NJ-2, LLC v. JFB Constr. & Dev., 13-cv-4537, 2015 U.S. Dist. LEXIS 74508 (S.D.N.Y. June 9, 2015) - Wax NJ-2, LLC (“Wax”) hired the architectural firm GF55 Partners (“GF55”) to design and then inspect construction of...more

Akerman LLP - Health Law Rx

Evolving Litigation of Data Breach Claims

Akerman LLP - Health Law Rx on

An Illinois circuit court judge has dismissed five of six claims in a consolidated class action against Advocate Health and Hospital Corporation arising from a data breach in July 2013. The judge’s dismissal with prejudice...more

Carlton Fields

Gatekeeper Liability of Inside Asset Management Attorneys "Appearing" Before the SEC

Carlton Fields on

This article addresses the liability of inside attorneys at asset management companies— mutual fund sponsors, investment advisers, broker-dealers, life insurance companies—as gatekeepers under rules of the US Securities and...more

Robinson+Cole Data Privacy + Security Insider

Seventh Circuit rules hospital system is not a Consumer Reporting Agency under FCRA

Robinson+Cole Data Privacy + Security Insider on

Is a hospital a “consumer reporting agency”? Can a health care provider be liable under the Fair Credit Reporting Act (FCRA) in the event of a data breach? The Seventh Circuit Court of Appeals recently considered these...more

Fisher Phillips

Employment Law in Colombia: Part III

Fisher Phillips on

This article is the third in a series which provides an overview of the basics of employment law in Colombia and will focus on laws governing employment terminations, including just cause reasons for terminating the...more

Burr & Forman

Rare SEC Administrative Loss in Adviser ADV Case

Burr & Forman on

SEC Administrative Law Judge Grimes dismissed administrative charges against an investment adviser and its principals for allegedly failing to disclose material conflicts of interest in its Form ADV and willfully filing false...more

Jackson Walker

Davidson v. Henkel — What’s Going On With Nonqualified Deferred Compensation Plans and FICA

Jackson Walker on

In This Presentation: - Davidson v. Henkel Corp. - The Parties - NQ Plan - The Plan’s Tax Clauses - Davidson’s Pre-Retirement Counseling - 2011 Compliance Review and Letter - Henkel’s Tax...more

Dorsey & Whitney LLP

Adviser, Co-founder, Settle SEC Breach of Duty Proceeding

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The Commission filed settled administrative proceedings against an investment adviser and its co-founder based on a claimed breach of fiduciary duty. The Order alleged violations based on negligence, citing Securities Act...more

Troutman Pepper

SEC Settles With The City Of Harrisburg: Case Presents A Teaching Moment For Other Municipalities

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On May 7, 2013 the Securities and Exchange Commission (SEC) and the City of Harrisburg, Pennsylvania concluded a years-long SEC investigation in a first-of-its kind settlement....more

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