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Compliance and Third-Party Risk Management Image

Compliance and Third-Party Risk Management

Chris Zohlen & Johnathan Prewitt

To gauge the level of risk and uncover potential gaps, compliance and privacy leaders should collaborate to consider how often they are monitoring third parties, what intelligence they are gathering with and about their partners and vendors, and whether their risk management practices have been diminished due to cost and resource constraints.

Features

SEC Enforcements Highlight Risk of Noncompliance Image

SEC Enforcements Highlight Risk of Noncompliance

John G. Moon & Kenneth M. Silverman

he vast amount of cross-border investment in the U.S. securities market and the SEC's ever-evolving reporting structure compels foreign investor compliance teams and U.S. securities counsel to stay informed of potential reporting responsibilities and keep abreast of developments in the law.

Features

Addressing the Overlap Between AdTech and Third-Party Risk Management Image

Addressing the Overlap Between AdTech and Third-Party Risk Management

Chris Zohlen & Jonathan Prewitt

Effective third-party risk management means data is being considered differently. There is an extra layer requiring management and response for data privacy. The landscape is complicated, but if organizations are proactive, and review obligations as soon as they are published, there will be less room for missteps.

Features

Navigating the SEC's Marketing Rule: Compliance Challenges and Legal Insights Image

Navigating the SEC's Marketing Rule: Compliance Challenges and Legal Insights

Colleen Corwell, Shannon Nolan & Nikolas Simonlacaj

The Securities and Exchange Commission (SEC) has underscored the critical importance of Marketing Rule compliance through a series of recent enforcement actions and risk alerts. This article delves into the challenges that investment advisers must navigate when marketing their services. It also explores how legal counsel and compliance consultants can effectively support their clients in adhering to both the explicit requirements and nuanced aspects of the Marketing Rule.

Features

Examining the Extraterritoriality of the DTSA Image

Examining the Extraterritoriality of the DTSA

Jie Gao & Hunter Hendrix

Can a company's trade secrets misused abroad give recourse on the extraterritoriality of the Defend Trade Secrets Act? Yes, said the 7th Circuit in an important new case in which a claim under the DTSA was asserted.

Features

Navigating the SEC's Marketing Rule Image

Navigating the SEC's Marketing Rule

Colleen Corwell, Shannon Nolan & Nikolas Simonlacaj

The Securities and Exchange Commission (SEC) has underscored the critical importance of Marketing Rule compliance through a series of recent enforcement actions and risk alerts. This article delves into the challenges that investment advisers must navigate when marketing their services. It also explores how legal counsel and compliance consultants can effectively support their clients in adhering to both the explicit requirements and nuanced aspects of the Marketing Rule.

Features

No Matter Who Wins the Presidential Election, Changes In Corporate Regulation Await Image

No Matter Who Wins the Presidential Election, Changes In Corporate Regulation Await

Phillip M. Gordon & Caleb Acker

While the focus is on the electoral horse race, what people should be focused on is the next presidential administration's policies, and especially those policies respecting the administrative state.

Features

FTC Noncompete Ban Blocked By Federal Court Image

FTC Noncompete Ban Blocked By Federal Court

Ryan Glasgow, Christopher Pardo & Katherine Sandberg

Regardless of whether the FTC's Final Rule ever becomes effective, that will not impact the growing number of state laws that regulate noncompetes and other types of restrictive covenants, meaning that the overall issue of restrictive covenant strategy and compliance remains alive for nearly all employers, even while the Final Rule is currently set aside.

Features

Landscape for Legislative Protections Against AI Voice Scams Image

Landscape for Legislative Protections Against AI Voice Scams

Jeffrey N. Rosenthal, Timothy J. Miller & Liam Leahy

Tools have been developed to perform vocal cloning, leading to vocal deepfakes becoming a common source of scams and misinformation. And these issues have only been exacerbated by a lack of appropriate laws and regulations to rein in the use of AI and protect an individual's right to their voice.

Features

LJN Quarterly Update: 2024 Q3 Image

LJN Quarterly Update: 2024 Q3

LJN Staff & Contributors

The LJN Quarterly Update highlights some of the articles from the nine LJN Newsletters titles over the quarter. Articles include in-depth analysis and insights from lawyers and other practice area experts.

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