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Read need-to-know updates, commentary, and analysis on Administrative Agency issues written by leading professionals.

IRS Reissues Proposed Regulations for Centralized Partnership Audit Regime

by Morrison & Foerster LLP on

The new rules represent a complete overhaul of partnership audit, assessment, and collection procedures. Taxpayers should review and potentially amend partnership agreements before the new rules are scheduled to take effect...more

California Finders Rule May Soon Take Effect

by Allen Matkins on

Nearly one year ago, the California Department of Business Oversight proposed regulations to implement the provisions of AB 667 (Wagner). The bill, which was enacted in 2015 and took effect last year, created a new exemption...more

Updated U.S. Civil Penalties Raise the Cost of Noncompliance

In 2016, we let you know about the redundantly titled “Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015,” which required that heads of government agencies adjust civil penalties yearly to account for...more

DOL revises guidance regarding exercise of shareholder rights by ERISA fiduciaries

by Thompson Coburn LLP on

At the end of 2016, the U.S. Department of Labor (DOL) issued Interpretive Bulletin 2016-1 which provides updated guidance regarding fiduciary obligations with respect to corporate stock held by employee benefit plans that...more

Weekly Update Newsletter - May 2017 #3

by PilieroMazza PLLC on

SBA Administrator Linda McMahon Appoints Four Senior Executives, SBA PRESS RELEASE (May 25, 2017) - Administrator Linda McMahon of the U.S. Small Business Administration (SBA) announced the appointment of four new...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Heading into a long holiday weekend the Chairman continued to fill out the senior staff of the agency. Peter Uhlmann, a staff veteran who has held several senior management positions, was appointed as Managing Executive in...more

Amendments to the German Corporate Governance Code for 2017 Published and In Force

by Jones Day on

On 24 April 2017, the Corporate Governance Committee established by the German Federal Government (Regierungskommission Deutscher Corporate Governance Kodex) officially published various amendments to the German Corporate...more

President of Ukraine approves new package of sanctions of NSDC

by DLA Piper on

On 17 May 2017 the Ukrainian President enacted order ?133/2017 which allowed the National Security and Defense Council of Ukraine (as of 28 April 2017) to impose special economic and other restrictive measures. The Decision...more

SEC Enforcement, ALJs and the Appointments Clause – Part II

by Dorsey & Whitney LLP on

This is the second of two articles reviewing the arguments of the parties in SEC v Raymond J. Lucia Companies, Inc., v. Securities and Exchange Commission, No. 15-1345 (D.C. Cir. Argument May 24, 2017). In that case the en...more

SEC Enforcement, ALJs and the Appointments Clause

by Dorsey & Whitney LLP on

The future of the SEC’s administrative enforcement process and, in particular its Administrative Law Judges, will be the focus of the D.C. Circuit this week as the Court, sitting en banc to hear oral argument in SEC v Raymond...more

FDA Extends Compliance for Restaurant Food Labeling and Seeks Additional Comments

The Food and Drug Administration (FDA) has extended the compliance date for the final rule requiring disclosure of certain nutrition information for standard menu items in certain restaurants and retail food establishments....more

GAO Review Calls for Greater Oversight of DoD’s “Pilot” Mentor-Protégé Program

by Bass, Berry & Sims PLC on

Last month, the Government Accountability Office (GAO) released results from its investigation into the effectiveness of the Department of Defense (DoD) Pilot Mentor-Protégé Program. In accordance with the National Defense...more

Celltrion May Apply for FDA Approval for Rituximab and Trastuzumab by June

by Goodwin on

The Korea Herald reports that Celltrion is on track to file applications for U.S. FDA approval for its rituximab and trastuzumab biosimilars by June. According to the article (and as previously reported), once approved, the...more

Administrative Law Judge Rules Against SEC In Insider Trading Case

by Shearman & Sterling LLP on

On April 18, 2017, Securities and Exchange Commission (“SEC” or “Commission”) Administrative Law Judge (“ALJ”) James Grimes dismissed an administrative proceeding instituted by the Commission against Georgia real estate...more

Departing Federal Reserve Governor Tarullo Gives Speech Supporting Strong Capital Requirements and Criticizing the Volcker Rule

by Shearman & Sterling LLP on

Daniel Tarullo’s resignation from the US Federal Reserve Board became effective, and he was succeeded by Governor Powell as the Chairman of the Board of Governors’ Committee on Supervision and Regulation...more

How to Assemble a Board of Directors for a Startup

by JD Supra Perspectives on

A successful startup will likely see the structure and composition of its board of directors change significantly over time....more

What Startup Founders Should Consider When Choosing a Board of Directors

by JD Supra Perspectives on

The board of directors has tremendous significance to a startup company....more

Financial Regulatory Agenda for 2017 and onwards

by DLA Piper on

We bring to you the Financial Regulatory Agenda for 2017 and onwards in the Netherlands and in Europe. Download and keep up to date with the most important dates. Please see full Calendar below for more information....more

OPBAS: An AML “Super” Supervisor?

by WilmerHale on

On 15 March 2017, the Government announced its plans to launch a new anti-money laundering (“AML”) watchdog, the Office for Professional Body AML Supervision (“OPBAS”). OPBAS is intended to complement the soon-to-be updated...more

New Administrative Penalties Against Individuals and Private Companies as Part of Mexico's Fight Against Corruption

by White & Case LLP on

On July 19, 2017, Mexico's new General Law on Administrative Accountability will take effect, imposing serious penalties on individuals and private companies that violate it, and requiring companies to adopt and implement...more

FINRA Dismisses Insider Trading Charges

by Shearman & Sterling LLP on

On March 13, 2017, Financial Industry Regulatory Authority’s (“FINRA”) National Adjudicatory Council (the “NAC”) affirmed a hearing panel’s finding that Matthew Joseph Sheerin, a trader formerly with investment firm Angelo...more

Sharply Divided Supreme Court Declines to Establish a Bright-Line Rule on Non-Lawyers Representing Corporations in Administrative...

by Sedgwick LLP on

A non-lawyer with no apparent formal connection to a corporation is the sole representative of the corporation at an administrative proceeding. When the decision comes down, it’s never properly served on the corporation. Is...more

"Key Takeaways: Recent Investment Management Litigation and Regulatory Developments"

On February 28, 2017, Skadden hosted a webinar titled “Recent Investment Management Litigation and Regulatory Developments.” The Skadden panelists were litigation partners Eben Colby and Seth Schwartz, securities enforcement...more

Swimming in dark pools

by DLA Piper on

NZX has published its regulatory agenda for 2017 setting out its regulatory priorities and resourcing, and the outcomes it seeks to achieve over the coming year. In both the 2016 and 2017 regulatory agendas, NZX has flagged...more

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