Payments to Finders Fall Outside of California Broker-Dealer Provisions
California Corporations Code Section 25206.1, which became effective January 1, 2016 permits “finders” to be exempt from broker-dealer provisions of California securities laws. In other words, this new...
View ArticleSEC Looks to Ease Small Business Ability to Raise Capital
The Securities and Exchange Commission organized an Advisory Committee on Small and Emerging Companies to provide the SEC with advice on its rules, regulations and policies as they relate to emerging...
View ArticleMinding the Compliance Gap in an Evolving FCPA Landscape
Every day corporate entities and individuals in some parts of the world provide payments to foreign officials in exchange for business favors. While it may be a common feature of business in these...
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Private Company Enforcement: Bay Area Tech Company Designs Tech Solution to...
The brightest minds in Silicon Valley work 24/7 to disrupt existing systems and industries. No one can argue that Uber and Lyft haven’t fundamentally altered transportation, that AirBnB hasn’t changed...
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Steep Fines for Company With Compliance Problems, but Recognition of...
After a series of compliance failures leading to the resignation of company’s CEO, the privately-held health care brokerage company Zenefits was just hit with a $7 million dollar settlement by the...
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If You Give a Mouse a Cookie: Ongoing Regulatory Monitoring Increasing in...
Earlier this year we highlighted the growing trend of regulators asserting continuing post-investigation control over the operations of companies accused of compliance failures. At the state level, we...
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With Zenefits Settlement Award SEC Demonstrates Continued Commitment to...
Last week the SEC announced it had reached an agreement with privately-held company Zenefits, and its co-founder and former CEO Parker Conrad, to settle allegations that Zenefits materially misled...
View ArticleSEC San Francisco Regional Enforcement Director Confirms SEC Private Company...
At a recent panel organized by San Francisco’s Federal Bar Association, the San Francisco Regional Director of the Securities and Exchange Commission (SEC), Jina Choi, confirmed that the agency...
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