• Coinbase
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    Courtesy of Coinbase

    Coinbase faces SEC enforcement action over staking services

    “Coinbase runs a rigorous asset review process and has rejected more than 90% of assets that have applied to be listed on the platform,” CEO Brian Armstrong tweeted Wednesday.

    By Gabrielle Saulsbery • March 24, 2023
  • Senate Holds Hearing On Reform Of US Financial Market Regulations
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    Brendan Smialowski / Stringer via Getty Images

    SEC proposes cybersecurity disclosure rules for financial industry specialists

    The changes would require broker-dealers and other entities to adopt written plans to minimize risk and promptly disclose major incidents.

    By David Jones • March 17, 2023
  • Corporate compliance
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    Anna Moneymaker / Staff via Getty Images

    Preparing for DOJ’s compensation pilot without going out on a limb

    Companies can show the agency they’re prepared to tie compensation to compliance while leaving the toughest details to when it’s involved in an enforcement action.

    By March 17, 2023
  • SVB
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    Justin Sullivan / Staff via Getty Images

    Was SVB CEO Becker’s $3.6M stock trade made in good faith?

    The SEC’s 10b5-1 rules just changed, but even under the earlier version, the trading plans can’t be entered into while the insider possesses material nonpublic information.

    By March 14, 2023
  • antitrust enforcement
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    Scott Olson via Getty Images

    JetBlue ‘inconsistent’ in Spirit merger plan, analyst says

    The Department of Justice has a legitimate case in this week’s antitrust lawsuit against the effort to build the country’s fifth largest airline, former antitrust official says.

    By March 7, 2023
  • Kenneth Polite
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    U.S. DOJ. (2023). "Kenneth Polite Alpha Task Force" [Photo]. Retrieved from U.S. DOJ.

    Police your use of messaging apps, DOJ’s Polite warns

    Your compliance program won’t pass muster if it doesn’t take employee use of self-deleting apps seriously, the Department of Justice says.

    By March 6, 2023
  • Compensation, clawbacks get DOJ enforcement focus

    Companies can get penalties reduced if they align executive pay with compliance performance and also recoup wrongdoing employees’ ill-gotten gains.

    By March 3, 2023
  • SEC under fire
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    Chip Somodevilla via Getty Images

    Healthcare company leader abused 10b5-1 trading plan, SEC says

    The chair and CEO of wellness company Ontrak set up and sold shares under two trading plans while knowing bad news was brewing, the SEC charges.

    By March 2, 2023
  • A photo of Julie Su, Department of Labor Secretary
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    Roy Rochlin via Getty Images

    Biden to appoint Julie Su as Labor Secretary

    Su is known for cracking down on wage theft, and has long settled disputes between employers and unions.

    By Caroline Colvin • Feb. 28, 2023
  • Hangout
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    David Paul Morris / Stringer via Getty Images

    DOJ accuses Google of deliberate spoliation by using auto-delete chats

    Despite saying it had suspended auto-deletion as part of its legal hold policy, the company’s employees kept the chat history function turned off when communicating, the federal government says.

    By Feb. 24, 2023
  • Wells Fargo branch exterior
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    Courtesy of Wells Fargo multimedia resources

    Wells Fargo warns it may be on the hook in WhatsApp probe

    HSBC and SocGen this month also flagged investigations into improper record-keeping, suggesting a new wave of SEC and CFTC penalties may be in the works.

    By Dan Ennis • Feb. 24, 2023
  • A businessperson hands a colleague a paycheck.
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    AndreyPopov via Getty Images

    How in-house counsel can navigate pay disclosure laws

    Employers can consider a series of proactive steps to minimize exposure, writes LexisNexis' Elias Kahn.

    By Elias J. Kahn • Feb. 15, 2023
  • legal duty of oversight
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    Kali9 via Getty Images

    Cyber disclosures won’t save directors under Caremark

    Boards will be tempted to equate compliance with upcoming SEC cybersecurity rules to meeting a duty of oversight standard. They shouldn’t, attorneys say.

    By Feb. 9, 2023
  • telemedicine
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    Courtesy of GoodRx

    GoodRx takes issue with FTC approach but settles first breach-rule charge

    The telemedicine company says the kind of practice that’s being targeted is commonly used by companies and even government agencies.

    By Feb. 2, 2023
  • The California state capitol is shown July 4, 2003 in Sacramento, California.
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    Justin Sullivan via Getty Images

    State, local laws to drive employer compliance trends in 2023

    Pay transparency, employee privacy and paid leave laws are on the minds of employers this year, attorneys say.

    By Katie Clarey • Feb. 2, 2023
  • Data privacy
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    Vertigo3d via Getty Images

    Companies face data privacy maze, skills gap

    Executives could be under increased pressure this year to focus on privacy, as new state laws come into effect.

    By Alexei Alexis • Jan. 31, 2023
  • Image of bitcoins.
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    Chris McGrath via Getty Images

    New GC in crypto space says compliance is top priority

    The digital asset banking platform Dinara is hoping its compliance foundation serves as a key differentiator in the embattled cryptocurrency industry, Yanire Martes says.

    By Jan. 27, 2023
  • attorney-client
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    Seb_ra via Getty Images

    Protecting privilege when conducting a pay audit

    As companies analyze the compensation they offer employees and applicants in response to pay transparency laws, it’s important to make it a legal, rather than a business, review.

    By Lisa Burden • Jan. 13, 2023
  • Listing of data privacy terms such as GDPR, personal data and privacy
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    NicoElNino via Getty Images

    How to use software to strengthen data privacy compliance

    Exterro says its Smart Data Inventory solution helps companies keep up with evolving laws, including by indicating when privacy impact assessments are required.

    By Jan. 10, 2023
  • Forecast
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    Natali_Mis via Getty Images
    Deep Dive

    6 in-house legal trends to watch in 2023

    Legal chiefs will be expected to do more with less even while operational costs rise and compliance risks grow.

    By Robert Freedman and Lyle Moran • Jan. 6, 2023
  • Federal Trade Commission
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    Carol Highsmith. (2005). "The Apex Building" [Photo]. Retrieved from Wikimedia Commons.

    Non-competes would be illegal under FTC’s proposed rule

    If finalized as written, both new and existing non-competes, along with some non-disclosure agreements, would be banned as unfair practices that harm competition. 

    By Jan. 5, 2023
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    Jack Taylor / Stringer via Getty Images

    New FTX CEO blasts ‘complete failure of corporate controls’ under Bankman-Fried

    CEO John Ray didn’t mince words in discussing mismanagement of the crypto exchange by its founder and others.

    By Gabrielle Saulsbery • Nov. 17, 2022
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    Photo Illustration: Shaun Lucas/Industry Dive; Getty Images

    Salary transparency laws drive employers to address pay parity

    Equity goals seemingly have new urgency in the age of compensation disclosures.

    By Ginger Christ • Nov. 10, 2022
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    Thomas Cain via Getty Images
    Deep Dive

    ESG backlash unlikely to derail SEC climate risk rule

    SEC Chair Gary Gensler faces growing resistance to the agency’s proposal that companies provide detailed disclosures on carbon emissions.

    By Jim Tyson • Oct. 17, 2022
  • A digital padlock icon on a virtual interface screen
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    ipopba via Getty Images

    Moving past confusion to ensure corporate compliance with privacy restrictions

    There are steps companies can take now, merger and non-merger related, to address data privacy issues.

    By Joey Seeber • Oct. 11, 2022