Ropes & Gray LLP

Call for Input on the Post-Implementation Review of the FCA’s Crowdfunding Rules

The Financial Conduct Authority (the “FCA”) published a post-implementation review of its crowdfunding rules on 8 July 2016 (the “Paper”). The Paper is a “call for input” to invite readers to engage with the review, to offer…more
| Business Organizations, Communications & Media Law, Securities Law

CMS Issues Final Rule on Overhaul of Clinical Diagnostic Laboratory Test Payment System

On June 17, 2016, the Centers for Medicare & Medicaid Services (“CMS”) issued a final rule (the “Final Rule”) that makes significant changes to Medicare reimbursement for clinical diagnostic laboratory tests (“CDLTs”)…more
| Government Contracting, Health

The Court of Appeal redefines the “but-for” causation test for negligence: Losses caused to a lender by a surveyor’s negligent property valuation on a refinancing were wholly recoverable.

In a landmark judgment with wide implications for the lending, refinancing and valuation industries, in Tiuta International Ltd (In liquidation) v De Villiers Surveyors Ltd [2016] EWCA Civ 661, the Court of Appeal, by a two to…more
| Civil Procedure, Commercial Law & Contracts, Construction Law, Finance & Banking

OCR Launches Phase 2 HIPAA Audits

On July 11, 2016, the U.S. Department of Health and Human Services (“HHS”) Office for Civil Rights (“OCR”) notified 167 covered entities of their selection for Phase 2 desk audits. The audits will examine compliance with the…more
| Health, Privacy, Science, Computers, & Technology

HHS Issues New Guidance on Ransomware

On July 11, 2016, the U.S. Department of Health and Human Services (“HHS”) Office of Civil Rights (“OCR”) issued guidance on ransomware attacks. The guidance clarified that a ransomware attack involving electronic protected…more
| Health, Privacy, Science, Computers, & Technology

FCA Proposals to Extend Reporting Requirements for Non-EU AIFMS

The FCA recently released its quarterly consultation Paper (No. 13) which is published to consult on amendments the FCA Handbook. One of the proposed changes relates to the transparency reporting requirements for alternative…more
| Finance & Banking, Securities Law

Data Protected? Europe Adopts the EU-US Privacy Shield

Following the recent approval by the Article 31 Committee (which includes representatives of the European Union (“EU”) Member States) of the final version of the EU-U.S. Privacy Shield (“Privacy Shield”), the European Commission…more
| Commercial Law & Contracts, Elections & Politics, International Law & Trade, Privacy, Science, Computers, & Technology

India Supreme Court Clarifies Standard for Enforcement of Indian Prevention of Corruption Act

Earlier this year, the Supreme Court of India clarified the standard necessary to prove violations of India’s Prevention of Corruption Act, 1988 (“PCA”), in a ruling that may limit enforcement of the PCA and that has potential…more
| Business Organizations, Criminal Law, International Law & Trade

Potential implications on the use of passporting for asset management firms in a post-Brexit world

Following the “Leave” result of the United Kingdom’s Referendum on whether to Remain or Leave the European Union, one the most talked-about issues is whether the UK will continue to have access to the EU’s financial services…more
| International Law & Trade

Amended FINRA Rule Will Require Margin for TBA Transactions

On June 15, 2016, the Securities and Exchange Commission (the “SEC”) approved the Financial Industry Regulatory Authority, Inc.’s (“FINRA”) proposed amendment to FINRA Rule 4210, which will require U.S. registered broker-dealers…more
| Finance & Banking, Securities Law

SEC Approves Nasdaq’s Disclosure Rule on “Golden Leashes”

On July 1, 2016, the Securities and Exchange Commission approved, on an accelerated basis, Nasdaq’s proposal to require listed companies to publicly disclose compensation or other payments by third parties to director and…more
| Business Organizations, Securities Law

SEC Issues Guidance on Fund Business Continuity Planning

On June 28, 2016, the SEC’s Division of Investment Management issued a Guidance Update titled, Business Continuity Planning for Registered Investment Companies (the “Guidance,” available here). The Guidance states that a fund…more
| Business Organizations, Finance & Banking, Securities Law

SEC Adopts Resource Extraction Issuer Disclosure Rule – Changes From the Proposed Rule and Take-aways for Issuers

On June 27, the SEC adopted Rule 13q-1 under the Exchange Act and related amendments to Form SD. Under the Rule, public companies are required to annually report on payments made to foreign governments and the U.S. federal…more
| Business Organizations, Energy & Utilities, International Law & Trade, Securities Law

SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans

On June 28, 2016, the SEC published a release (the “Release”) proposing new Rule 206(4)-4 under the Advisers Act (the “Proposed Rule”). If adopted, the Proposed Rule would require every SEC-registered investment adviser (an…more
| Business Organizations, Finance & Banking, Securities Law

SEC Staff Addresses Funds’ Auditor Independence Problem

On June 20, 2016, the SEC’s Division of Investment Management provided a temporary no-action letter (the “Letter”) to a fund group (the “Fund Group”) applicable to registered investment companies (each, a “Fund”) and other…more
| Business Organizations, Securities Law
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