News

SEC Guidance on RIA Standard of Care and Broker-Dealer Exemption

By EsqSocial Corporation 05/09/19

While the financial service industry was hemming and hawing over the publication of Regulation Best Interest (Reg BI), and debating how broker-dealers are expected to reconcile commission-based sales with federal mandates on disinterested...

Take Two: Washington Proposes Reform in “Cannabis 2.0” Initiative

By EsqSocial Corporation 05/09/19

In 2014, Washington’s newly minted adult use marijuana market was pioneering. Fast-forward to 2019, and that same market looks comparatively stale and out-of-date, having been modified and improved upon by later-acting states. To its credit,...

Illinois Enhances Its Data Breach Notification Requirements

By EsqSocial Corporation 05/09/19

In response to trends, heightened public awareness, and a string of large-scale data breaches, states continue to enhance their data breach notification laws. Illinois Governor J.B. Pritzker recently signed into law an amendment to the Personal...

Deutsche Bank Settles FCPA Case with SEC for $16 Million for Hiring Relatives of Public Officials

By EsqSocial Corporation 05/09/19

If there ever was a poster-child for reputational damage for a financial institution, Deutsche Bank would be the first and only candidate.  Talk about a bank that is in trouble and continues to fall under government scrutiny....

SEC Proposes Amendments to Modernize Business, Legal Proceedings and Risk Factor Disclosures Under Regulation S-K

By EsqSocial Corporation 05/09/19

On Aug. 8, 2019, the U.S. Securities and Exchange Commission (SEC) proposed amendments to modernize the description of business (Item 101), legal proceedings (Item 103) and risk factor disclosures (Item 105) that companies are required to make under...

Some “Truths” About The Retirement Plan Business

By EsqSocial Corporation 05/09/19

I’m very outspoken, probably too much. Many people in the industry don’t like flamethrowers who call things as they see it. While it might cost me a speaking slot at some event, it has allowed me to have a following of other plan providers who like...

Imago Couple’s Dialogue: A Technique for Addressing Emotion During Mediation

By EsqSocial Corporation 05/09/19

Nearly all disputes in mediation have both a financial and an emotional component. To paraphrase mediator Julie Denny*, the chief executive of a manufacturer is not just angry because the company lost money due to defective parts; she also feels...

Texas’ Expansion of Medical Marijuana May Impact Employers

By EsqSocial Corporation 05/09/19

Texas has largely avoided the wave of marijuana legalization sweeping the country and the accompanying legal complications that have come along for the ride. Those days may be numbered as the Texas Legislature recently passed a significant expansion...

Preparing For That First Court Reporting Assignment

By EsqSocial Corporation 05/09/19

Planet Depos wishes to share with court reporting interns the following tips to help them transition from their student role to the official reporter on any assignment......
By: Planet Depos, LLC

Chancery Applies California Law Despite a Delaware Choice-of-Law Provision and Dismisses a Claim for Breach of a Non-Solicitation Provision in an Employment Agreement as Unenforceable under California Law

By EsqSocial Corporation 05/09/19

NuVasive Inc. v. Miles, C.A. No. 2017-0720-SG (Del. Ch. Aug. 26, 2019). When a contract, executed by parties in a foreign jurisdiction, designates Delaware law as controlling, Delaware courts must first determine whether the choice-of-law provision...

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