News & Analysis as of

Confidentiality Agreements Compliance

Harris Beach PLLC

Things to Think About Before Signing That AI Vendor Contract

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As artificial intelligence becomes increasingly integrated into business operations, companies must carefully evaluate vendor contracts involving AI technologies...more

Littler

Utah Enacts New #MeToo-Inspired Law Related to Confidentiality Clauses

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Utah joins the growing list of states, including California, New Jersey and New York, enacting their own #MeToo-inspired laws prohibiting confidentiality clauses regarding sexual misconduct. The #MeToo movement seeks to limit...more

K&L Gates LLP

SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Release Agreements With Retail Clients

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As the year gets underway, the Securities and Exchange Commission (SEC or Commission) is continuing its ongoing enforcement efforts to target anti-whistleblower practices by pursuing a broader range of entities and...more

BakerHostetler

Employers Beware: Broad Confidentiality and Severance Clauses May Violate Whistleblower Protection Laws

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Employers should check their confidentiality and severance agreements for a common oversight that, for some, is becoming a costly error. Recent enforcement activity by the Securities and Exchange Commission (SEC) of Rule...more

Proskauer - The Capital Commitment

Words Matter: Three Key Steps to Mitigate SEC Enforcement Risks Relating to Whistleblower Carveout Language

Since 2015, the SEC has brought nearly two dozen enforcement actions for violations of the whistleblower protection rules under Rule 21F-17(a) against employers for actions taken to impede reporting to the SEC. The bulk of...more

Mitratech Holdings, Inc

HR Compliance & Remote Employee Engagement: Where the Two Meet (Part 2)

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Businesses know there are distinct challenges when balancing remote work, employee engagement, and HR compliance. Unfortunately, many cannot focus on all three things, and one, two, or even all three get lost. Not focusing on...more

Foster Swift Collins & Smith

NLRB Puts Employment Handbooks Under More Scrutiny

Employers often have workplace policies which are typically contained in an employment handbook. These handbooks may include policies regarding the confidentiality of business information, the use of cell phones during work,...more

Holland & Hart - Employers' Lawyers

Update on Colorado Legislature’s Employment Bills

Colorado’s 74th General Assembly convened the First Regular Session on January 9, 2023. As expected, there has been continued focus on labor and employment, with some particularly surprising proposals (not all of which have...more

Stark & Stark

[Event] RIA Compliance and Legal Strategies Conference - June 1st, Wayne, PA

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The RIA Compliance and Legal Strategies Conference is an essential event for registered investment advisors to gain a valuable understanding of current regulatory and compliance-related issues. Attendees will earn 5 CE...more

Thomas Fox - Compliance Evangelist

Internal Reporting and Whistleblowers During Layoffs

In Houston, we have experienced energy companies laying off upwards of 30% of their workforce, both in the US and abroad. Employment separations can be one of the trickiest maneuvers to manage in the spectrum of the...more

Thomas Fox - Compliance Evangelist

Congrats to the Red Sox: What is tone at the top?

An interesting wrinkle is rising on the problem regarding Non-Disclosure Agreements (NDAs) and Confidentiality Agreements (CAs) for former CBS employees or those who have settled with the company for discrimination or...more

Jackson Lewis P.C.

[Webinar] Preparing for New York State and New York City’s New Sexual Harassment Prevention Mandates: What Employers Should...

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New York State and New York City each have passed sweeping measures intended to combat harassment in the workplace. Mayor Bill de Blasio is expected to sign the New York City Council’s legislation into law soon. Similarly,...more

Thomas Fox - Compliance Evangelist

Whistleblower Conference Agenda Sizzles with Hot Topics

2016 was more than simply the most robust year in Foreign Corrupt Practices Act (FCPA) enforcement. It was also a record year in Securities and Exchange Commission (SEC) whistleblower awards and additionally the year the SEC...more

Fenwick & West LLP

Securities Litigation and Enforcement Newsletter

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A CD or not a CD, That is the Question… That the Auditors Should Have Answered - A headline-grabbing SEC enforcement action last week against BDO USA and several of its national partners may lead audit firms to insist on...more

Fisher Phillips

Employment Law in Colombia: Part III

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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

Foley & Lardner LLP

A Review of Recent Whistleblower Developments

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SEC Awards Another Whistleblowing Compliance Officer - On April 22, 2015, the Securities and Exchange Commission (SEC) announced an award between $1.4 and $1.6 million to a compliance officer who provided information...more

Proskauer Rose LLP

Recommended Actions for Hedge Fund, Private Equity Fund and Other Private Fund Advisers To Prevent Possible Whistleblower...

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On April 1, 2015, the Securities and Exchange Commission (SEC) announced that it had settled its first enforcement action under SEC Rule 21F-17, which prohibits companies from taking actions or using confidentiality...more

Thomas Fox - Compliance Evangelist

Economic Downturn Week, Part II – The Golden Gate Bridge and Employment Separation – Hotlines and Whistleblowers During Layoffs

I use the Golden Gate Bridge as an entrée to my continued discussion on the series on steps that you can use in your compliance program if you find yourself, your company or your industry in an economic downturn. Whether you...more

NAVEX

Do Your Confidentiality and Employment Agreements Violate SEC Whistleblower Protection Rules?

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As the SEC takes aim at whistleblower “pretaliation” (attempts to muzzle whistleblowers via confidentiality and other employment agreements—overt or otherwise) ethics and compliance officers need to take practical steps to...more

Proskauer - Whistleblower Defense

FINRA Again Cautions Against Confidentiality Provisions Silencing Whistleblowers

As reported this week by Law360 (subscription required), the Financial Industry Regulatory Authority (FINRA) recently issued a reminder (Regulatory Notice 14-40) warning firms against the use of confidentiality provisions in...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 34

In this issue: - Oregon State Court Refuses to Enforce Forum Selection Bylaw - SEC Announces Pilot Program to Widen Tick Sizes for Smaller Companies - NFA Issues Notice Setting Effective Date for Risk...more

Levenfeld Pearlstein, LLC

2014 Labor And Employment Law Checklist

Each year, LP’s Labor & Employment Practice Group is pleased to provide a short checklist of steps that all companies should consider taking to measure their readiness for the coming year. We hope that you find this 2014...more

Perkins Coie

Do Your Confidentiality Policies Pass NLRB's Expanding Standards?

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The National Labor Relations Board, the agency that enforces federal labor law, continues to challenge employer policies that seek to impose confidentiality constraints on employees....more

Miller Canfield

SEC Whistleblower Program: What Employers Need to Know

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Attorneys Matt Allen and Todd Holleman give insights to the SEC Whistleblower Act and what employers need to know. ...more

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