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Articles by Brian Neil Hoffman
Employers Face Increased Risk of SOX Retaliation Claims With Supreme Court's Murray Ruling
Daily Journal In early February 2024, the US Supreme Court issued its decision in Murray v. UBS Securities, LLC, upholding existing standards that a whistleblower employee is not required to show that his/her employer acted with retaliatory intent to assert a claim under the Sarbanes-Oxley Act (SOX).
Three Takeaways From Recent SEC Enforcement Case | JD Supra
The Securities and Exchange Commission (SEC) just announced a settled enforcement matter involving a public company and its CFO. (AP File No. 3-21438) The case presents three important takeaways for companies and executives. The Case The SEC alleged that a company and its CFO overstated the number of paying subscribers in the first quarter of 2019, which allowed the company to hit a previously disclosed estimate.
New Proposed Rules for Investment Adviser Outsourcing | JD Supra
November 16, 2022 To embed, copy and paste the code into your website or blog: On October 26, 2022, the US Securities and Exchange Commission (the "SEC") proposed a new rule (206(4)-11) and amendments under the Investment Advisers Act of 1940 that prohibit registered investment advisers from outsourcing certain services or functions to service providers without first meeting certain minimum requirements.
SEC Values Cooperation and Remediation | JD Supra
September 16, 2022 To embed, copy and paste the code into your website or blog: The SEC’s Division of Enforcement talks a lot about valuing voluntary and proactive cooperation and remediation by companies. Yet less often do companies see some tangible evidence that such efforts can actually translate to meaningful benefits. That’s because the decision not to pursue an enforcement action (an ideal cooperation benefit) is generally non-public.
Buckle Up for the SEC's Mandatory Climate Change Reporting Ride | JD Supra
On March 21, 2022, the US Securities and Exchange Commission (the "SEC") proposed rules governing the "Enhancement and Standardization of Climate-Related Disclosures for Investors." What you need to know: Disclosing climate-related risk and greenhouse gas emissions disclosures will require substantial effort. For the first time companies will need to explain how they manage climate risks. The proposed rules may be challenged, but companies need to pay attention now.
DOJ Announces Significant Changes to Corporate Criminal Enforcement Policies | JD Supra
On October 28, 2021, Deputy Attorney General Lisa Monaco issued a Memorandum entitled “Corporate Crime Advisory Group and Initial Revisions to Corporate Criminal Enforcement Policies,” which she explained the same day in her Keynote Address at the ABA National Institute on White Collar Crime. Together, the DAG Memo and her Keynote Address provide insight into efforts of the Department of Justice (DOJ) to more aggressively pursue corporate criminal enforcement.
How Will Arthrex Affect PTAB Outcomes? Likely, Not Much | JD Supra
[co-author: Zack Kalinowski] The U.S. Supreme Court’s opinion in United States v. Arthrex has shaken up the Patent Trial and Appeals Board but will likely have little effect on case outcomes. Arthrex involved a challenge to the constitutionality of the PTAB’s administrative patent judges. APJs are appointed by the Secretary of Commerce and can be removed only for cause. The APJs conduct inter partes review (IPR), a procedure for challenging a patent’s validity.
California Privacy Rights Act Passes: Five Tips to Help Companies Prepare for California’s New, New Thing! | JD Supra
The California Privacy Rights Act (CPRA) passed by ballot measure in November 2020. While it does not repeal the California Consumer Privacy Act (CCPA), which became effective in January 2020, it does change and augment CCPA in several important ways. The following alert outlines five short- and long-term action items to prepare your business for CPRA. 1. Don’t panic or hyperventilate First, there is some good news: Timing – Not Effective Until 2023.
Clarity and Insight or Just Hyperventilation: Preparing for the CCPA in View of the Latest Proposed Draft Regulations | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Developing a Patent Portfolio | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
10 Essential Things to Do Now Despite the Uncertainty | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
FTC Toughening Stance on Data Security – Five Key Takeaways from Recent Consent Orders | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Downturn Diligence: Increasing Your Business’s Recession Resilience
Economists worry about a recession in the next year. (E.g., per Fortune, NPR , CNBC, and MarketWatch.) Whenever the next downturn arrives, businesses should be prepared for increased litigation and regulatory action. Start now by updating contract terms to anticipate tighter budgets and by preparing your team for scrutiny from regulators, customers, and counterparties.
5 takeaways from recent cybersecurity developments by Colorado & the SEC
This article appeared in Cybersecurity Law & Strategy, an ALM publication for privacy and security professionals, chief information security officers, chief information officers, chief technology officers, corporate counsel, internet and tech practitioners, in-house counsel. Visit the website to learn more.
Five Takeaways from Recent Cybersecurity Developments by Colorado and the SEC
Disaster down-time could cost your law firm hundreds of thousands of dollars in revenue. This paper outlines key considerations and best practices to use in devising your disaster recovery plan. This infographic/data sheet combo provides a pulse on vital commercial litigation statistics today, and illustrates how you can predict the behavior of courts, judges, lawyers, and more.
Five Takeaways from Recent Cybersecurity Developments by Colorado and the SEC
Five Takeaways from Recent Cybersecurity Developments by Colorado and the SEC Colorado recently adopted a new law expanding companies’ obligations in the event of a cybersecurity incident, and establishing new data security and disposal obligations. Recent announcements by the SEC likewise emphasize important responsive points for both companies and their personnel in the wake of an incident. Five key takeaways from these developments are highlighted in this article.
Court of Appeal Holds Truck Driver Not Liable for Unforeseen Roadrage under the Sudden Emergency Doctrine | JD Supra
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Dodd-Frank Whistleblower Protection Extends Only to Employees Who Report to SEC | JD Supra
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Cybersecurity Regulation of Financial Services Firms
Financial services firms and their management should keep a close eye on developing cybersecurity regulations, so as to be better prepared to proactively address the shifting regulatory landscape as it continues to evolve. Cybercrime poses an ever-increasing threat to consumers of financial products and services.
Federal and State Cybersecurity Regulation of Financial Services Firms
Federal and State Cybersecurity Regulation of Financial Services Firms Two states recently enacted or proposed rules for financial services firms. This may be just the beginning of a national trend toward increased state regulation of cybersecurity matters. Financial services firms and their management should be prepared to proactively address the shifting regulatory landscape as it continues to evolve. Cybercrime poses an ever-increasing threat to consumers of financial products and services.
Layered Federal and State Cybersecurity Regulation of Financial Services Firms
Layered Federal and State Cybersecurity Regulation of Financial Services Firms Cybercrime poses an ever-increasing threat to consumers of financial products and services. In 2016, the then- SEC Chair said that cybercrime ranks as “one of the greatest risks facing the financial services industry.” Federal law thus requires financial services firms to implement procedures designed to protect their customers’ data. Now individual states are increasingly getting into the game.
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