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Regulatory Oversight › Liability

ArentFox Schiff

ESG Update: Corporate Directors May Be Obligated to Assess Political Risk

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Right now, much about the world is uncertain. Risks posed by political changes dominate the headlines and also weigh heavily on many decisions made by corporations, their advisors, and their stakeholders....more

K&L Gates LLP

The Continued Evolution of Caremark Oversight Liability

K&L Gates LLP on

In the last year, Delaware courts have issued several notable opinions that further define—and in some cases expand—the scope of liability for failures of oversight at a corporation. Claims by shareholders that one or more...more

Maison Law

California Distracted Driving Laws that Can Impact Your Car Accident Claim

Maison Law on

Potential and actual distractions abound when you occupy the driver's seat. You adjust the volume on the radio, heat, and air conditioning. Large screens in the front display maps, directions, radio stations, the song being...more

UB Greensfelder LLP

Determining Chief Compliance Officer Liability Isn’t Really That Confounding

UB Greensfelder LLP on

About a month ago, the SEC announced a settlement in a modest little case that has, nevertheless, managed to garner a lot of attention.  This is a result of the fact that one of the respondents was the CCO, i.e., the Chief...more

Moore & Van Allen PLLC

Riding the Regulatory Enforcement Train: FINRA Issues Reminder on Supervisory Liability for Chief Compliance Officers

Moore & Van Allen PLLC on

On March 17, 2022, FINRA issued Regulatory Notice 22-10 (“Notice”), which reminds FINRA member firms and their associated persons of the scope of supervisory liability for Chief Compliance Officers (“CCO”). The Notice...more

Faegre Drinker Biddle & Reath LLP

FINRA Wades into the Controversial Deep-End of CCO Supervisory Liability

Faegre Drinker Biddle & Reath LLP on

The lack of specific guidance regarding failure to supervise liability for chief compliance officers (“CCOs”) has been a controversial and opaque topic that both FINRA and the SEC have struggled with for well over a decade....more

Faegre Drinker Biddle & Reath LLP

How the Anti-Drunk Driving Technology Mandated by Recent Legislation May Impact the Liability of Automobile Manufacturers and the...

Faegre Drinker Biddle & Reath LLP on

The Infrastructure Investment and Jobs Act (the “Act”), signed into law on November 15, 2021, has been followed closely by the transportation sector.  One section of the Act has the potential to impact the landscape of...more

Butler Snow LLP

Looking Beyond the Pandemic – AI and Digital Health Kick into Warp Speed

Butler Snow LLP on

What This Means for the FDA and the Industry - The COVID-19 pandemic has spurred the development of digital health products utilizing artificial intelligence (AI) and machine learning (ML). When the pandemic passes, there...more

Carlton Fields

Senate Follows House Seeking to Make Cannabis Banking "S.A.F.E."

Carlton Fields on

Sens. Jeff Merkley and Cory Gardner have reintroduced the Secure and Fair Enforcement (SAFE) Banking Act as a companion to House bill HR 1595....more

Orrick, Herrington & Sutcliffe LLP

Smart Contracts That Violate the Commodity Exchange Act: What Parties Are Liable?

Orrick, Herrington & Sutcliffe LLP on

In recent years, the U.S. Commodity Futures Trading Commission (CFTC) has devoted significant resources to addressing how the requirements of the Commodity Exchange Act (CEA) and the regulations thereunder apply to...more

Hogan Lovells

Liability regulation of online platforms in the UK

Hogan Lovells on

The UK's diverse ecology of online platforms is a key growth engine for the UK economy and society. It enables knowledge discovery, sales, social and economic interaction and the sharing and distribution of content. ...more

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