Compliance Bricks and Mortar for April 7

These are some of the compliance-related stories that recently caught my attention.


You Need to Know This: YTD Securities Class Action Lawsuit Filings are Off the Charts by Kevin LaCroix in the D&O Diary

Securities class action lawsuit filings have been going crazy. Securities suit filings during the first quarter 2017 set a pace that if continued would mean an unprecedented number of securities lawsuit by year end. But even more significant than the sheer number of lawsuits is the rate of litigation. The percentage of listed companies sued in the first quarter, if annualized, would mean that U.S. public companies are being sued at four times the long-term historical rate. As discussed below, three factors account for much of the upsurge in securities suit filings. [More…]


Denials and Admissions in Civil Enforcement – Looking Beyond the SEC by Verity Winship and Jennifer K. Robbennolt in NYU’s Compliance & Enforcement blog

Should agencies require admissions of guilt from the targets of civil enforcement? The SEC’s policy of letting enforcement targets settle while neither admitting nor denying allegations provoked judicial rebukes and a public debate. But the SEC is only the tip of the iceberg. Administrative agencies rely heavily on settlement as a key enforcement tool. Admissions of guilt—or, more commonly, declarations that nothing is admitted—form part of these settlement agreements and the underlying negotiations. [More…]


The Easiest Way to Help Save the Planet: Get a Bike

From eradicating health concerns linked to inactivity, to mitigating climate change, to boosting local economies and building community, biking… is an integral part of the solution. It just has some image and infrastructure issues to overcome. [More…]

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