News & Analysis as of

Hiring & Firing › Securities and Exchange Commission (SEC)

Hiring & Firing refers to the process of recruiting, interviewing and offering employment and the process of evaluating performance and dismissing employees. Hiring & Firing is a highly regulated area and... more +
Hiring & Firing refers to the process of recruiting, interviewing and offering employment and the process of evaluating performance and dismissing employees. Hiring & Firing is a highly regulated area and can create tremendous liability for employers who fail to properly adhere to acceptable employment practices. Some of the potential pitfalls in this area stem from discriminatory hiring practices, improper performance evaluations, and retaliatory firings.  less -
Cooley LLP

Unintended Consequences of the SEC’s Buyouts: Few “Going-Away” Parties

Cooley LLP on

As noted in this USA Today article, Senators Elizabeth Warren and Mark Warner sent a letter a few weeks ago to the GAO requesting an investigation into the impact of the SEC’s recent buyouts and the upcoming layoffs resulting...more

Cooley LLP

SEC Loses 12% of Staff (Before the Coming Layoffs)

Cooley LLP on

As noted in this Reuters article, over 600 of the staffers at the SEC have taken a buyout offer and will be leaving in the coming week or two. Many of these are senior staffers and it’s roughly 12% of the overall staff....more

A&O Shearman

Northern District of California Denies Motion To Dismiss Putative Class Action Based On Financial Services Company’s Alleged...

A&O Shearman on

On July 29, 2024, Judge Trina L. Thompson of the United States District Court for the Northern District of California denied a motion to dismiss a putative securities class action brought by investors against a financial...more

Troutman Pepper Locke

Navigating Employment and Separation Agreements: Lessons From Al Pacino's Serpico — Hiring to Firing Podcast

Troutman Pepper Locke on

In this episode of the Hiring to Firing Podcast, Partners Tracey Diamond and Evan Gibbs, along with fellow Partners Sheri Adler and Mary Weeks, chat about the ultimate whistleblower — police officer Frank Serpico — and the...more

Epstein Becker & Green

Employers Beware: SEC Targets Employment Agreements Under Whistleblower Protection Rules

Epstein Becker & Green on

Less than two weeks after it last penalized a private employer for alleged violations of whistleblower protection rules in its employee separation agreements, the Security and Exchange Commission (“SEC”) once again takes aim...more

Wilson Sonsini Goodrich & Rosati

All Eyes on AI: Regulatory, Litigation, and Transactional Developments – Q2 2023

Wilson Sonsini Goodrich & Rosati on

The firm is pleased to distribute the Q2 2023 edition of All Eyes on AI: Regulatory, Litigation, and Transactional Developments, which closely follows the evolving regulatory landscape for artificial intelligence (AI) in the...more

Goodwin

NLRB Concludes that Separation Agreement Provisions Prohibiting Disparagement and Requiring Confidentiality of Agreement Terms...

Goodwin on

In its recent decision in McLaren Macomb, the National Labor Relations Board (“NLRB” or the “Board”) concluded that provisions in employment separation agreements prohibiting disparagement of the employer and requiring...more

Skadden, Arps, Slate, Meagher & Flom LLP

Reductions in Force: Legal Do’s and Don’ts

Skadden, Arps, Slate, Meagher & Flom LLP on

Reductions in force (RIFs) are making headlines as companies trim their worker ranks in the face of a weakening economy. Employers must decide whether to implement voluntary or involuntary RIFs (or both); the considerations...more

Mitratech Holdings, Inc

[Webinar] ESG 101: A Primer on Environment, Social, and Governance - December 1st, 8:00 am PT

Mitratech Holdings, Inc on

Driven by societal change and climate urgency, and the clamor for equity and transparency, regulators have introduced new Environmental, Social, and Governance (ESG) disclosure regulations that are designed to provide...more

King & Spalding

A National Call for Equity

King & Spalding on

Shifting from Diversity and Inclusion to Diversity, Equity, and Inclusion in the Workplace - Given the events related to the tragic death of George Floyd, Breonna Taylor, Ahmaud Arbery and countless others in May 2020 and...more

WilmerHale

Shareholder Focus on Reproductive Rights Post-Dobbs

WilmerHale on

Companies are responding in a myriad of ways to the US Supreme Court’s ruling in Dobbs v. Jackson Women’s Health Organization (Dobbs), including by expanding healthcare travel benefits to reduce barriers to accessing care in...more

Proskauer - Whistleblower Defense

CA District Court: Dodd Frank Whistleblower Provision Does Not Apply Extraterritorially

Proskauer - Whistleblower Defense on

On June 28, 2021, the United States District Court for the Northern District of California granted the Company’s Rule 12(b)(6) motion to dismiss after an executive claimed he was discharged in violation of the Dodd-Frank...more

Proskauer - Whistleblower Defense

CA Federal Court Dismisses Whistleblower Claims After Bench Trial

Proskauer - Whistleblower Defense on

On July 26, 2021, the United States District Court for the Northern District of California held, after a bench trial, that Plaintiff Botta failed to prove that Defendant PricewaterhouseCoopers LLP (“PwC”) terminated his...more

Pillsbury Winthrop Shaw Pittman LLP

Maximizing Human Capital Disclosure Under New Guidance

Pillsbury Winthrop Shaw Pittman LLP on

A new SEC rule requires, to the extent material to a company’s business as a whole, expanded human capital disclosures, but its disclosure requirements are very general and give companies the ability to “tell their own story”...more

Robins Kaplan LLP

Financial Daily Dose 9.15.2020 | Top Story: Citi Faces Federal Risk-Management Inquiry, Resumes Job Cuts

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Federal authorities are prepping to “reprimand Citigroup Inc. for failing to improve its risk-management systems—an expansive set of technology and procedures designed to detect problematic transactions, risky trades and...more

Robins Kaplan LLP

Financial Daily Dose 8.27.2020 | Top Story: TikTok CEO Resigns After Just 4 Months on Job

Robins Kaplan LLP on

Still-new TIkTok CEO Kevin Mayer has stepped down, “just months after taking the helm of the viral short video app.” ByteDance had appointed Mayer in May in an effort “to make the case that TikTok operates as a separate...more

Robins Kaplan LLP

Financial Daily Dose 6.23.2020 | Top Story: White House Suspends Work Visas for Hundreds of Thousands

Robins Kaplan LLP on

On Monday, the White House announced its plan to extend a “freeze on ‘green cards’ for new immigrants” and to “suspend H-1B, L-1, J and other temporary work visas for skilled workers, managers and au pairs through the end of...more

Thomas Fox - Compliance Evangelist

Cardinal Health FCPA Enforcement Action: High Risk Business Relationships

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Cardinal Health Inc. (Cardinal) settled its Foreign Corrupt Practices Act (FCPA) matter with the Securities and Exchange Commission (SEC) last week. According to the SEC Press Release, Anita B. Bandy, Associate Director in...more

Foodman CPAs & Advisors

Instituciones Financieras y el FCPA

Foodman CPAs & Advisors on

La Ley de Prácticas Corruptas en el Extranjero (“Foreign Corrupt Practices Act – FCPA”) prohíbe el pago de sobornos a funcionarios extranjeros para ayudar a obtener o retener negocios.  Exige que las empresas cuyos valores se...more

Foodman CPAs & Advisors

Financial Institutions and the FCPA

Foodman CPAs & Advisors on

The Foreign Corrupt Practices Act (FCPA) prohibits payment of bribes to foreign officials to assist with obtaining or retaining business.  It requires companies whose securities are listed in the US to maintain books and...more

Thomas Fox - Compliance Evangelist

Top SEC Enforcement Actions from 2019

Thomas Fox - Compliance Evangelist on

Yesterday, I considered five Department of Justice (DOJ) Foreign Corrupt Practices Act (FCPA) enforcement actions. Today, I want to look at key FCPA enforcement actions by the Securities and Exchange Commission (SEC)....more

Seyfarth Shaw LLP

ARB: No Protected Activity where Employee Inadvertently Informed Employer and Only “Hinted” at Filing Whistleblower Complaint

Seyfarth Shaw LLP on

Seyfarth Synopsis: The DOL’s ARB rejected an employee’s SOX retaliation claim where he inadvertently provided information to his employer and only “hinted” that he was filing a SOX-protected complaint. The ARB seems unwilling...more

Bass, Berry & Sims PLC

(Another) Big Bank Pays FCPA Penalty for Hiring Practice

Bass, Berry & Sims PLC on

• A payment to a government official can take many forms. • The SEC charges bank for books and records violation even absent a bribery charge. • Industry-wide enforcement is a continuing tactic for U.S. regulators. ...more

Carlton Fields

SEC Expands Manager-of-Managers Relief to Affiliated Sub-Advisers

Carlton Fields on

On May 29, 2019, the SEC granted an exemptive order to Carillon Series Trust and Carillon Tower Advisers Inc. (a Raymond James affiliate) to hire and replace affiliated and unaffiliated sub-advisers without shareholder...more

Thomas Fox - Compliance Evangelist

Barclays – Back to the Basics

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This week I am considering the recent spate of Foreign Corrupt Practices Act (FCPA) enforcement actions brought by the Securities and Exchange Commission (SEC) at the close of its fiscal year. Last week saw several...more

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