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Confidential Information › Confidentiality Agreements › Securities and Exchange Commission (SEC)

Allen Matkins

Does The SEC's Jurisdiction Really Extend To Any Person?

Allen Matkins on

Last week, the Securities and Exchange Commission announced that it had settled charges against a broker-dealer and two investment advisers for impeding their clients from reporting securities law violations to the SEC. ...more

Paul Hastings LLP

SEC Wins Trial Involving First-Ever Shadow Trading Case

Paul Hastings LLP on

On April 5, 2024, a federal jury in the Northern District of California found defendant Matthew Panuwat liable for insider trading in the Securities and Exchange Commission’s (“SEC”) first-ever case involving the so-called...more

Allen Matkins

More Than Four Score Law Firms File Amicus Brief Opposing SEC Assault On Client Confidentiality

Allen Matkins on

In several recent posts, I have discussed Covington & Burling LLPs opposition to an SEC subpoena demanding that the law firm "name names".   Now more than 80 law firms from across the country have filed an amicus brief...more

Wiley Rein LLP

A Client Alert About Client Alerts – SEC Cites Alerts In Issuing $400,000 Fine Related to Whistleblower Protections

Wiley Rein LLP on

What: On June 22, 2022, the Securities and Exchange Commission (SEC) settled charges against The Brink's Company (Brinks) for requiring employees to sign confidentiality agreements that prohibited disclosure of any financial...more

Proskauer - Corporate Defense and Disputes

Non-Use Agreement Need Not Precede Disclosure of Confidential Information

Proskauer - Corporate Defense and Disputes on

A Pennsylvania federal court held yesterday that an agreement not to use confidential inside information for trading purposes need not precede the receipt of that information in order to create liability under the...more

Morrison & Foerster LLP

Employment Law Commentary - Volume 29, Issue 1

Morrison & Foerster LLP on

The Cost Of Keeping Things Quiet: Crackdown On Confidentiality Clauses Calls For Explicit Carve-Outs - In last February’s Employment Law Commentary, we discussed best practices for drafting separation agreements. Among...more

Thomas Fox - Compliance Evangelist

Whistleblower Conference Agenda Sizzles with Hot Topics

Thomas Fox - Compliance Evangelist on

2016 was more than simply the most robust year in Foreign Corrupt Practices Act (FCPA) enforcement. It was also a record year in Securities and Exchange Commission (SEC) whistleblower awards and additionally the year the SEC...more

Perkins Coie

Recent Whistleblower Protection Actions by SEC and Congress Add Risk to Severance Agreements

Perkins Coie on

Two recent SEC enforcement actions that describe how severance agreements may violate whistleblower protections under the federal securities laws if not properly drafted were the subject of a recent article by Perkins Coie...more

Akerman LLP - HR Defense

Expanded Whistleblower Protections Impact Confidentiality Policies and Agreements

Akerman LLP - HR Defense on

All employers should review their confidentiality policies and agreements to ensure adequate protections for whistleblowers in the wake of recent actions by both the Securities and Exchange Commission (“SEC”) and the National...more

Baker Donelson

Can You Keep a Secret? The SEC Says to Ask Carefully

Baker Donelson on

Employers have a lot to be worried about. Employees are given access to trade secrets, customer lists, financial accounts, and other highly sensitive, confidential information. Most employers attempt to deter improper use of...more

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