Compliance into the Weeds - SOX Compliance, PCAOB Inspections and Audits
Compliance into the Weeds-Episode 57-SOX Reform or Not?
Compliance into the Weeds-Episode 51, the PCAOB and Compliance
Compliance into the Weeds-Espiode 47
Everything Compliance-Episode 12
Day 5 of One Month to Better Investigations and Reporting-the Board’s Investigation Protocol
Compliance into the Weeds-Episode 30-SOX 404(b)
FCPA Compliance and Ethics Report-Episode 145-SEC Enforcement of the FCPA, Part II
In this issue of Employment Flash: the new DOL rule on independent contractors, SCOTUS’s unanimous Sarbanes-Oxley whistleblower ruling, plus labor law developments in California, Delaware, D.C., New York, the EU, Germany and...more
Foreign public companies listed in the United States may soon face delisting if their auditors cannot comply with US investor protection laws. On December 2, 2020, the US House of Representatives passed by voice vote the...more
On December 2, 2020, the U.S. House of Representatives (“House”) passed the Holding Foreign Companies Accountable Act, Senate Bill No. 945 (the “bill”)....more
It has been a rough few months for Luckin Coffee. The company once compared as China’s homegrown Starbucks ignited controversy when it disclosed earlier this year that much of its 2019 revenues were fabricated. Its problems...more
On May 20, 2020, the U.S. Senate unanimously approved bipartisan legislation (the “bill”) that would amend Section 104 of the Sarbanes-Oxley Act of 2002....more
On December 30, 2019, the Second Circuit issued a consequential insider trading decision in United States v. Blaszczak. In Blaszczak, the Second Circuit faced the question whether the “personal benefit” test set forth in...more
Congress is poised to overturn two recent judicial interpretations of the whistleblower protections of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank). On Sept. 23, 2019, the Whistleblower...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business...more
On December 10, 2018, Representative K. Michael Conway introduced H.R. 7234, a new bill entitled “Holding Foreign Companies Accountable Act” that seeks to amend the Sarbanes-Oxley Act of 2002. ...more
The Senate Banking Committee recently considered various securities-related bills, including the following...more
According to a memo circulating amongst Republican-party leaders as of February 13th, Republicans in the House of Representatives are planning to propose a significant curtailment of the U.S. Securities and Exchange...more
Consider this posting a warning to everyone in the corporate governance field. I am not known for being a chicken little and screaming “the sky is falling, the sky is falling.” I tend to be a realist when it comes to politics...more
On Tuesday, the House Energy & Commerce Subcommittee on Commerce, Manufacturing, and Trade held a hearing entitled "What are the Elements of Sound Data Breach Legislation?" This hearing was the first of the new Congress to...more