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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...
View ArticlePrivate Company Employee Stock Sales Highlight Hidden Dangers of Compliance...
We noted with interest the latest moves by some Bay Area tech giants to permit their employees to sell restricted stock to help them realize the stock value as part of their compensation: See New York...
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Developments in SEC Private Company Enforcement: Sophisticated VC’s in the...
The announcement that San Francisco private company Hampton Creek faces an SEC inquiry related to their alleged “buyback” program of vegan mayo comes as no shock. See reporting on Bloomberg. As soon as...
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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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