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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

Impact of Supreme Court's Ruling On Expert Intent Testimony In 'Diaz v. United States' Image

Impact of Supreme Court's Ruling On Expert Intent Testimony In 'Diaz v. United States'

Bonnie M. Baker

The Supreme Court held that expert testimony in a criminal case, as to whether "most people" similar to the defendant have a particular mental state, does not run afoul of the Federal Rule of Evidence's prohibition against expert opinion evidence about whether a criminal defendant had or lacked the mental state required for conviction. Particularly in white-collar cases, where the defendant's intent is often the central disputed issue, the implications of Diaz may be far-reaching.

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.

Features

The DOJ's Whistleblower Pilot Program Adds Incentives for Robust Corporate Compliance Programs Image

The DOJ's Whistleblower Pilot Program Adds Incentives for Robust Corporate Compliance Programs

Jonathan New, Patrick Campbell & Sydney Park

By incentivizing individuals to report misconduct through its Whistleblower Pilot Program, the DOJ has expanded its arsenal and the means by which it can identify misconduct. So wrongdoers beware — although this is not the Old West, everybody loves a good bounty.

Features

Avoiding Ad Fraud In Class Notice Image

Avoiding Ad Fraud In Class Notice

Cecily Uhlfelder & Robert DeWitte

Digital ad fraud involves deceptive practices where fraudulent actors exploit automated advertising systems to drain ad budgets, skew campaign metrics and diminish campaign effectiveness. As the sophistication of ad fraud techniques increases, it is crucial to partner with trained marketing professionals who are vigilant in managing and protecting their campaigns.

Features

Precautions Defense Counsel Should Consider In Making Attorney Proffers Image

Precautions Defense Counsel Should Consider In Making Attorney Proffers

Robert J. Anello & Richard F. Albert

For good reason, ordinarily courts are reluctant to admit statements of counsel as evidence in a criminal trial. Rulings in two recent high-profile local cases defy the common wisdom.

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