In this episode, Daniela Fonseca Puggina, partner in our Miami office and Jennifer Ancona Semko, a partner in our Washington, D.C. office discuss litigation readiness for financial institutions (FIs). The episode also covers potential vulnerabilities and disputes that they need to prepare for, current and emerging trends in litigation (from our Litigation Intelligence: Ready for Anything? Report), and how they can benefit from litigation preparedness.
The SEC today issued its first Order under its Whistleblower Rules in quite some time, citing a registered broker-dealer with violating Rule 21F-17 of the Securities Exchange Act, which precludes conduct that could impede anyone from communicating with the Commission about potential securities laws violations.
Under both SEC and state rules, employee political contributions can create conflicts of interest for managers that market to public pension plan clients. Both the SEC and state regulators vigorously enforce these rules during and immediately after elections.
In this session at the 2020 Singapore Fintech Festival, the Asia Pacific Employment & Compensation Group provided an overview of its approach to dealing with digital transformation, focusing the discussion on modern workforce — including identifying the risks and challenges in establishing a virtual and flexible workforce and providing guidance as to how these challenges can be met. In particular, the team draws out from the recent experiences of employers in conducting business with their workforce in isolation.