Administrative Agency General Business

Read need-to-know updates, commentary, and analysis on Administrative Agency issues written by leading professionals.
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SEC Commissioners Making a “Noisy Exit”

Securities and Exchange Commission members Daniel M. Gallagher and Luis A. Aguilar will soon leave the SEC, but neither is keeping quiet about the SEC’s treatment of chief compliance officers (CCOs). Gallagher recently...more

SEC Administrative Law Judge Appointments Held Likely Unconstitutional

Defendants in SEC administrative enforcement proceedings have increasingly been going to federal court to challenge the SEC’s stepped-up use of its "in-house" tribunal. While the early results were not promising, more recent...more

No Distinction to be Made Between Foreign Commercial and Administrative Law Awards for Exequatur in France

France has had a dual jurisdictional system since the 19th century. On the one hand, the administrative courts have jurisdiction to hear most disputes which involve public entities and, on the other hand, the judicial courts...more

Consumer Rights Act 2015: Private Actions for Breaches of Competition Law – Overview of the New Regime

The entry into force of the Consumer Rights Act 2015 (“CRA15”) on 1 October 2015 sees the overhaul of the private enforcement regime in England & Wales. The CRA15, which amends both the Competition Act 1998 and the Enterprise...more

The New Portuguese Court of Arbitration for Sports

The Portuguese Court of Arbitration for Sport (CAS) is expected to become fully operational in October 2015. The CAS will have mandatory jurisdiction over all administrative disputes arising in relation to sports federations,...more

Is it the End of the Story for Redevelopment in California?

Long, long ago (in 2012 to be exact) in a land not so far away (also known as California), legislation which allowed local governments to establish redevelopment agencies tasked with eliminating blight through the...more

SEC Proposes Changes to Admin Forum

The SEC has announced a series of proposed changes to the Rules of Practice governing its internal enforcement actions. The changes update the decade-old Rules and respond in small part to a groundswell of criticism about the...more

SEC Seeks Respect for its In-House Court

SEC administrative proceedings have long been viewed as a one-sided rocket docket tilted toward giving the SEC every advantage possible. In response, the SEC has proposed amendments to its rules regarding administrative...more

HUBZone Redesignations Looming on October

The next batch of redesignated HUBZone areas is set to lose HUBZone status as of October 1. HUBZone-certified firms located in an expiring HUBZone will be decertified from the HUBZone program unless they have moved their...more

SEC Must Stop 2 Admin Cases Pending 2nd Circuit Constitutionality Decision

Two rulings last week ordered the SEC to stop administrative proceedings in two cases, pending the Second Circuit’s ruling on the constitutionality of its administrative forum. The Second Circuit stayed the SEC’s prosecution...more

Gatekeeper Liability of Inside Asset Management Attorneys "Appearing" Before the SEC

This article addresses the liability of inside attorneys at asset management companies— mutual fund sponsors, investment advisers, broker-dealers, life insurance companies—as gatekeepers under rules of the US Securities and...more

Second Circuit Stays SEC Administrative Proceeding

Defendants continue to pound nails into what may be to be the SEC’s coffin that its administrative proceedings are unconstitutional. If the genie is out of the bottle it’s hard to tell what the far reaching implications...more

Justice Department Issues New Policy Prioritizing Prosecution of Individuals in Corporate Cases

On September 9, 2015, the U.S. Department of Justice issued guidance regarding the prosecution of individuals in cases involving criminal and civil corporate wrongdoing. The first major policy memorandum issued since Attorney...more

SEC ALJ Dismisses Case: Inside-Info Trades, But No Tipper Benefit

An SEC administrative law judge (“ALJ”) found that former Wells Fargo trader Joseph Ruggieri traded on material nonpublic information tipped him by former analyst Greg Bolan, but dismissed the insider-trading charges against...more

Long-Awaited FSMA Final Rules Published

On September 10, 2015, the U.S. Food and Drug Administration (FDA) made public two final Food Safety Modernization Act (FSMA) rules: Current Good Manufacturing Practice, Hazard Analysis, and Risk-Based Preventive Controls...more

SEC ALJ Dismisses Insider Trading Claims Based on Dirks-Newman

When the Second Circuit handed down Newman the SEC joined with the Manhattan U.S. Attorney seeking rehearing en banc and arguing that the case would significantly hinder insider trading enforcement. Many wondered if the...more

New Department of Justice Enforcement Policy Focuses on Corporations Providing Evidence Against Individuals

On September 9, 2015, the U.S. Department of Justice (DOJ) issued a memorandum to federal prosecutors instructing them to increase their focus on the prosecution of individuals involved in corporate fraud and financial...more

Having the Last Word on the Last Word: SEC Says Its ALJs are “Mere Employees”

In what will surely not be the last word on this continuing controversy, on September 3, 2015, a majority of the members of the Securities and Exchange Commission held that the appointment process for the Commission’s...more

New DOJ Guidance Sharpens the Focus on Prosecuting and Suing Individuals in Corporate Criminal Investigations

On September 9, 2015, the U.S. Department of Justice (“DOJ” or the “Department”) issued a memorandum to its staff revising the principles guiding criminal and, indeed, civil enforcement in corporate criminal investigations...more

DOJ seeks to revamp and re-energize its prosecution of individuals: key takeaways

In the first major policy pronouncement of Attorney General Loretta Lynch’s term, the Department of Justice has instituted new guidelines intended to reshape how the Department investigates and prosecutes corporate...more

D.C. Circuit to Decide Scope of Judges’ Authority in Approval Process for Deferred Prosecution Agreements

A federal judge exceeded his authority when he rejected a deferred prosecution agreement (DPA) entered into earlier this year by the U.S. Department of Justice (DOJ) and a Dutch aerospace company, the DOJ and company will...more

FDA Releases Initial FSMA Final Rules

Today the U.S. Food and Drug Administration released the first two final rules that implement the Food Safety and Modernization Act ("FSMA"). The Preventive Controls for Human Food Rule sets new safety requirements for...more

First FDA FSMA Rules Have Landed; More Likely to Follow by End of Year

Earlier today, FDA finalized the first set of major rules implementing the Food Safety Modernization Act (FSMA) – regulations addressing current good manufacturing practice (CGMP), hazard analysis, and risk-based preventive...more

Obama Board Reaffirms Successor’s Right to Set Initial Terms of Employment when Taking Over Unionized Operation

Last week, the National Labor Relations Board issued a refreshingly employer-friendly decision which allowed a successor company to implement new pay terms without having to first bargain with the labor union. ...more

HUD’s Proposal to Terminate FHA Insurance Policies Could Terminate the FHA Program

If there is anything that galls servicers of government-insured loans, it is the forfeiture or curtailment of all accrued interest from mortgage insurance claims resulting from the failure to foreclose fast enough within...more

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