Ropes & Gray LLP

New FINRA Capital Acquisition Broker Rule Set May Be of Interest to Private Fund Sponsors

The SEC recently approved a set of FINRA rules for Capital Acquisition Brokers (“CABs”), described as corporate financing firms that generally limit their businesses to advising companies on mergers and acquisitions, advising…more
| Business Organizations, Finance & Banking, Mergers & Acquisitions, Securities Law

SEC Issues Guidance on Pay Ratio Disclosure Rule

On October 18, 2016, the Division of Corporation Finance of the Securities and Exchange Commission issued five new compliance and disclosure interpretations (C&DIs) regarding the pay ratio disclosure rule, which will require a…more
| Business Organizations, Securities Law

SEC Approves FINRA Rules Addressing “Pay-to-Play” Practices

The Securities and Exchange Commission (the “SEC”) recently approved the Financial Industry Regulatory Authority, Inc. (“FINRA”) proposal to adopt FINRA Rules 2030 and 4580, which set forth pay-to-play restrictions, and…more
| Business Organizations, Securities Law

Fifth Circuit Affirms False Claims Act’s Anti-Retaliation Provision Cannot Be Used Against Individuals Who Did Not Employ Plaintiff

On July 1, 2016, the Fifth Circuit affirmed the district Court’s dismissal of Plaintiff’s False Claims Act (“FCA”) retaliation claim against all individual defendants in the case. In Howell v. Town of Ball, 827 F.3d 515, 521…more
| Civil Procedure, Constitutional Law, Labor & Employment Law, Government Contracting

European Health Care Compliance Challenges (And Solutions)

Life sciences and health care companies (“health care companies”) rightly invest a significant amount of time and money into ensuring compliance with health care regulations in the countries in which they are based, but global…more
| Business Organizations, Health, Science, Computers, & Technology

District Court Judge Assigned in Conflict Minerals Rule Case

How time flies! This month, the litigation relating to the U.S. SEC’s Conflict Minerals Rule enters its fourth year. The litigation has been quiet for the better part of the last year, after the SEC’s petition seeking rehearing…more
| Civil Procedure, Constitutional Law, Energy & Utilities, International Law & Trade, Securities Law

Fifth Circuit Holds Non-Employee Agent Is Protected by False Claims Act’s Retaliation Provision

On March 9, 2016, the Fifth Circuit issued an important ruling addressing the type of relationship that is required between a relator and a defendant for the relator to have a right to bring a retaliation claim against the…more
| Business Organizations, Government Contracting, Labor & Employment Law

Sixth Circuit Affirms Dismissal of False Claims Act Case Based on HITECH Data Breach

In United States ex rel. Sheldon v. Kettering Health Network, 816 F.3d 399 (6th Cir. 2016), the Sixth Circuit affirmed the lower court’s dismissal of a False Claims Act (“FCA”) suit based on a data breach involving electronic…more
| Civil Procedure, Civil Remedies, Privacy, Health

First Circuit Affirms Stringent Rule 9(b) Particularity Requirement in False Claims Act Cases

On June 17, 2016, the First Circuit issued an opinion addressing, among other things, the particularity requirement that applies in False Claims Act (“FCA”) cases where the defendants are not alleged to have directly submitted…more
| Civil Procedure, Civil Remedies, Government Contracting, Science, Computers, & Technology

Donations and Grants in China: Compliance Controls Beyond T&E

While travel and entertainment expenses have presented significant compliance challenges for life sciences companies operating in China, donations and grants can also pose notable compliance risks. China’s escalated…more
| Commercial Law & Contracts, International Law & Trade, Science, Computers, & Technology

Massachusetts Determination of Need Proposed Regulations

On August 23, 2016, the Massachusetts Department of Public Health (“DPH”) proposed a major revision of its Determination of Need (“DoN”) regulations, 105 CMR 100.00, and held the first of two public hearings on the proposed…more
| Health

Ninth Circuit Holds that Fannie Mae and Freddie Mac Are Not Agents of the Government Under the False Claims Act

In United States ex rel. Adams v. Aurora Loan Servs., 813 F.3d 1259 (9th Cir. 2016), the Ninth Circuit affirmed the district court’s dismissal of Relators False Claims Act (“FCA”) complaint, holding that the Federal National…more
| Administrative Law, Finance & Banking, Real Estate - Residential, Government Contracting

Massachusetts Releases 2017 Acute Hospital Request for Applications and Contract

On August 24, 2016, the Massachusetts Executive Office of Health and Human Services (“EOHHS”) released the Rate Year 2017 Acute Hospital Request for Applications and Contract (“RY17 RFA”), which establishes the rates,…more
| Health

Small-Breach Focus Shows Growing Scope Of HIPAA Probes

Flexing yet more enforcement muscle under the Health Insurance Portability and Accountability Act, on Aug. 18, 2016, the U.S. Department of Health and Human Services Office for Civil Rights announced that it will more widely…more
| Health, Privacy, Science, Computers, & Technology

California’s New Fee Disclosure Law For Public Pension Plans Investing In Alternative Investment Vehicles

On September 14, 2016, California Governor Jerry Brown signed into law a bill intended to provide transparency with respect to fees and expenses paid by California public pension or retirement systems (“PPPs”) to private equity…more
| Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law
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