News & Analysis as of

Equity Compliance

Foley & Lardner LLP

Tricky Compliance Issues for Companies When an Executive Terminates Employment: Stock Options, Restricted Stock, and Other Equity...

Foley & Lardner LLP on

Executive employment relationships are rarely permanent. When an executive or other senior-level employee terminates employment, companies often must deal with difficult tax, equity, and benefits issues that arise in...more

Mintz Edge

Key Considerations for the Prospective Blockchain Investor

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Prospective purchasers of blockchain assets can now navigate through global exchanges (i.e., Coinbase or Kraken) to invest in various forms of tokens. Investments in tokens, however, are only the tip of the iceberg for those...more

Mintz - Securities & Capital Markets...

SEC Approves Nasdaq Rule Change on Reverse Stock Splits and Minimum Bid Price Compliance Timing

On October 7, 2024, the US Securities and Exchange Commission (SEC) approved a rule change proposed by The Nasdaq Stock Market LLC that affects companies utilizing reverse stock splits to regain compliance with Nasdaq’s...more

Proskauer Rose LLP

SEC Enforcement Action Underscores Need for MNPI Policies in CLO Trading

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In a significant enforcement action, the SEC sanctioned a private fund manager for failing to establish and maintain adequate policies and procedures to prevent the misuse of material nonpublic information (MNPI) while...more

Health Care Compliance Association (HCCA)

Federation of State Medical Boards weighs in on ethical use of AI in clinical practice

Though responsible and ethical use of artificial intelligence (AI) has been a hot topic for the past few years, there has not yet been significant adoption of laws or regulations aimed specifically at regulating the use of AI...more

Harris Beach Murtha PLLC

Hochul Implements Sweeping Leadership Changes at Office of Cannabis Management

Gov. Kathy Hochul has overhauled leadership at the state’s Office of Cannabis Management in an effort to speed up the licensing process, improve communication with applicants and licensees, and reaffirm the state’s commitment...more

Mitratech Holdings, Inc

Equity in Employment: How to Avoid Discrimination While Ensuring Form I-9 Compliance

Mitratech Holdings, Inc on

The fine line between following proper hiring procedures and promoting fairness and inclusivity requires a seasoned HR professional who understands not only the nuance of hiring in today’s world but also has a legal mind for...more

Jackson Lewis P.C.

Clarification on OFCCP’s New Compensation Directive 2022-01

Jackson Lewis P.C. on

Speaking to the Institute For Workplace Equality during its 2022 Annual Summit in Washington D.C., personnel from the U.S. Department of Labor Solicitor’s office (OFCCP’s attorneys) clarified the intent of the Agency’s new...more

Jackson Lewis P.C.

Diversity, Inclusion & Equity Training for Boards – Not Just a Compliance Exercise

Jackson Lewis P.C. on

“The most powerful leadership tool you have is your own personal example.” John Wooden- Boards play a pivotal role in establishing an organization that champions, highlights, and capitalizes on diversity, inclusion and...more

White & Case LLP

Key Considerations for the 2022 Annual Reporting and Proxy Season Part I: Form 10-K Considerations

White & Case LLP on

This is Part I of a two-part series outlining key considerations from White & Case's Public Company Advisory Group for US public companies during the 2022 annual reporting and proxy season. Part I of this memo describes...more

Health Care Compliance Association (HCCA)

[Virtual Event] Louisville Regional Healthcare Compliance Conference - October 29th, 8:25 am - 4:30 pm EDT

Our Virtual Regional Healthcare Compliance Conferences provide updates on the latest news in regulatory requirement, compliance enforcement, and strategies to develop effective compliance programs. Watch, listen, and ask...more

NAVEX

[Webinar] Diversity, Equity, and Inclusion: More Transparency and Accountability - June 17th, 9:30 am - 10:00 am PDT

NAVEX on

Learn More About: - Increased Transparency in Workforce Demographics - Leader Buy-in and Employee Engagement - Increased Accountability for Employees & Managers - Steps an Organization Can Take...more

NAVEX

Beyond the Moment: Creating Sustainable Diversity, Equality and Inclusion (DEI) Programs

NAVEX on

On October 22, 2020, NAVEX Global hosted NAVEX Next, our annual virtual conference featuring 26 speakers across 11 sessions exploring issues and informing audiences on a wide variety of risk and compliance topics and trends....more

Society of Corporate Compliance and Ethics...

[Event] 2020 Virtual Chicago Regional Compliance & Ethics Conference - May 1st, Chicago, IL

Our Virtual Regional Compliance Conferences provide updates on the latest news in regulatory requirement, compliance enforcement, and strategies to develop effective compliance programs. Watch, listen, and ask questions from...more

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