Searching Content indexed under Compliance by Fenwick & West LLP ordered by Published Date Descending.
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5 Tips For Tech Companies To Avoid SEC Scrutiny
Fenwick securities enforcement co-chair Michael Dicke spoke with Law360 about best practices for technology companies amidst increased SEC scrutiny of initial coin offerings and cybersecurity issues.
United States
20 Feb 2019
Akorn V. Fresenius: Important Practical Lessons From First-Ever Material Adverse Effect
On October 1, in Akorn v. Fresenius Kabi, the Delaware Court of Chancery for the first time found that a material adverse effect ...
United States
29 Oct 2018
CVAA Compliance Waiver For Video Games Set To Expire In December 2018
The Twenty-First Century Communications and Video Accessibility Act — also known as the CVAA — updated federal communications law in 2010 to provide greater access to certain technologies.
United States
15 Oct 2018
California's New Landmark Data Privacy Regulation And What Companies Need To Do To Comply
The new law takes effect January 1, 2020, but there's a lot to do so you need to start work now.
United States
23 Jul 2018
New SEC Rules Relax Disclosure Requirements For Smaller Technology And Life Sciences Companies
In an effort to promote capital formation and reduce compliance costs, the U.S. Securities and Exchange Commission has amended its rules to expand the number of public companies that qualify ...
United States
19 Jul 2018
Fenwick's Top Articles On Privacy, Patent Venue, Index Rules, SCOTUS And More
Recent months have brought important business, legal and regulatory developments. We analyzed Fenwick's client alerts and rounded up the most popular ones with our readers ...
United States
7 Nov 2017
CEO Pay Ratio Rule: New SEC Advice Helps Companies Prepare To Comply
Having recently affirmed that there will be no postponement of the 2018 effective date for CEO pay ratio disclosure...
United States
28 Sep 2017
SEC Proposes To Require Hyperlinks To All Exhibits In Periodic Reports And Registration Statements
The SEC issued proposed amendments that would require public companies and companies filing registration statements to include active hyperlinks to all exhibits contained or incorporated by reference in the filed document.
United States
12 Sep 2016
SEC Enforcement Of Financial Reporting & Accounting Violations
Financial reporting and accounting fraud reemerged as a key priority of the SEC Enforcement Division during 2015.
United States
8 Apr 2016
The UK Modern Slavery Act And Supply Chain Responsibility
We wanted to make you aware of a recent legal development regarding supply chain-related human trafficking that may increase your company's compliance burdens...
25 Jan 2016
SEC Exam Group Beginning Routine Examinations Of Venture Capital And Other Exempt Reporting Advisers
Until now, OCIE had conducted examinations ERAs sparingly and only "for cause," i.e. when the agency had a tip about wrongdoing or some other reason to believe that an examination was warranted.
United States
21 Dec 2015
You're The Man—Government Targets Individuals In FCPA Cases
The government has increasingly focused its FCPA enforcement firepower on individuals.
United States
18 Sep 2015
SEC Issues Final CEO Pay Ratio Rule
On August 5, 2015, the Securities and Exchange Commission (the "SEC") voted 3-2 to adopt the final "pay ratio" disclosure rule.
United States
18 Aug 2015
Important June Deadline For ALL Owners Of At Least 10% Of A Foreign Enterprise
As you may be aware, May 29, 2015 was the deadline for certain filings on Form BE-10 required by the U.S Bureau of Economic Analysis.
United States
4 Jun 2015
Corporate Social Responsibility Is Now Legal
Headlines are rife with firms that are "going green" and otherwise incorporating corporate social responsibility into their business practices.
United States
10 Feb 2015
GSK Bribery Conviction Signals Increased Risks In China
A Chinese court found pharmaceutical giant GlaxoSmithKline PLC guilty of bribing doctors and hospitals in order to increase sales of the company’s products in China.
United States
5 Nov 2014
U.S. Tax Developments Affecting Financial Institutions And Products
Recent months have seen significant IRS and judicial developments affecting financial institutions and market participants, including new FATCA changes.
United States
13 Aug 2014
Data Brokers In Regulatory Crosshairs
"Shadowy," "invisible," "secretive" and "unregulated" are all terms that have been used in recent years to describe the data broker industry, an industry with an estimated $150 billion in annual revenue.
United States
3 Mar 2014
Executive Compensation And Corporate And Securities Alert: SEC Proposes Rule To Disclose CEO-To-Worker Pay Ratio ("Pay-Ratio Rule")
The Securities and Exchange Commission narrowly voted in favor of proposing a rule that would require public companies to compare their chief executive officer's compensation with that of all of its employees and disclose this pay ratio in certain public filings.
United States
25 Sep 2013
Executive Compensation And Corporate And Securities Alert: SEC Adopts NYSE And Nasdaq Rules Relating To Compensation Committees And Compensation Consultants
The Securities and Exchange Commission has approved the equity listing standards proposed by the NYSE and Nasdaq, as amended regarding compensation committee independence criteria and compensation adviser independence criteria, which are required under Dodd-Frank Act Section 952.
United States
5 Feb 2013
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