Ropes & Gray LLP

SEC Proposes Rules to Require Liquidity Risk Management Programs for Funds and to Permit Swing Pricing of Fund Shares

In a September 22, 2015 Release (the “Release”), the SEC published the following proposals: - Proposed Rule 22e-4, which would require open-end funds (including ETFs but not money market funds) to adopt liquidity risk…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

The Draft EU Securitisation Regulation of 30 September 2015

The new draft regulation ‘laying down common rules on securitisation and creating a European framework for simple, transparent and standardised securitisation’ (the “STSR”) proposes new rules relating to..…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

SEC Removes Credit-Rating References and Amends Issuer Diversification Requirements in Money Fund Rules

In a September 16, 2015 Release (the “Release”), the SEC completed its obligations under Section 939A of the Dodd-Frank Act by removing references to credit ratings from Rule 2a-7. Most notably, the Release removes credit…more
| Securities Law

FTC and DOJ Continue HSR Enforcement, Announce Penalties for Violation of “Institutional Investor” Exemption

Leucadia National Corporation has agreed to pay $240,000 to settle charges that it violated the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (the “Act”) for acquiring shares of KCG Holdings, Inc. (“KCG”) in 2013 without…more
| Business Organizations, Commercial Law & Contracts, Securities Law

EU - US Personal Data Transfers - Safe Harbor Under Threat

Following a private challenge by an Austrian law student to the storage by Facebook of his personal data on servers located in the United States, the EU Advocate General (the “Advocate General”) has filed an advisory opinion…more
| Commercial Law & Contracts, Communications & Media Law, International Law & Trade, Privacy, Science, Computers, & Technology

European Banking Authority Shadow Banking Guidelines – Part 4: The Impact of the Guidelines

In the fourth and last of our updates in the current series on the European Banking Authority’s (EBA) draft Guidelines on limits on exposures of EU regulated banks to shadow banking (the Guidelines), we examine how the proposed…more
| Finance & Banking

SEC’s OCIE Risk Alert Announces New Cybersecurity Exam Initiative – Focus Includes Conducting Tests of Efficacy of Firm’s Procedures and Controls

Following up on last year’s cybersecurity sweep exam, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a new Risk Alert on September 15, 2015, announcing a second round of cybersecurity exams. In…more
| Commercial Law & Contracts, Science, Computers, & Technology, Securities Law

BEA Releases New BE-180 Form and Related Guidance in Advance of Upcoming Deadline

The U.S. Department of Commerce, through the Bureau of Economic Analysis (the “BEA”), requires U.S. financial services providers (including investment advisers, funds and their general partners) that had certain financial…more
| Administrative Law, International Law & Trade

European Banking Authority Shadow Banking Guidelines – Part 3: The Rationale and Context Behind the Guidelines

In the third of our series of updates on the European Banking Authority (EBA) consultation paper on the draft EBA Guidelines on limits to the exposures that EU regulated banks should have to shadow banks (the Guidelines), we…more
| Finance & Banking

Second Circuit Court of Appeals Creates Circuit Split on Controversial Dodd-Frank Act Whistleblower Anti-Retaliation Provision

On Thursday, September 10, 2015, the United States Court of Appeals for the Second Circuit issued its highly anticipated decision in Berman v. Neo@Ogilvy LLC. The plaintiff-appellant, Daniel Berman, had been the finance director…more
| Commercial Law & Contracts, Labor & Employment Law

New York City Council Limits Employers’ Ability to Make Employment Decisions Based on Criminal Backgrounds

We reported in a previous alert that New York City Mayor Bill de Blasio had signed a bill into law limiting employers’ use of credit checks for employment purposes. Further restricting the scope of employee background checks,…more
| Labor & Employment Law

DOJ Issues Guidance on Individual Accountability for Corporate Misconduct

On September 9, 2015, U.S. Deputy Attorney General Sally Quillian Yates issued a memorandum outlining to U.S. Department of Justice (“DOJ”) personnel the importance of individual accountability for corporate wrongdoing (the…more
| Business Organizations, Criminal Law, Government Contracting

HHS Proposes Major Overhaul of the Common Rule

On September 8, 2015, the Department of Health and Human Services proposed significant revisions to the Federal Policy for the Protection of Human Subjects (“Common Rule”), the set of federal regulations governing the conduct of…more
| Health, Science, Computers, & Technology

FDA Issues Draft Guidance and Proposed Rule on the Nonproprietary Naming of Biological Products

On August 28, 2015, FDA issued a draft guidance document and a proposed rule addressing the nonproprietary naming of biological products. Because nonproprietary naming can have substantial effects on the market for biosimilar…more
| Administrative Law, Science, Computers, & Technology

European Banking Authority Shadow Banking Guidelines – Part 2: What is a Shadow Banking Entity?

In the second of our series of updates on the guidelines proposed by the European Banking Authority (EBA) to minimise the risks that can transmit from the shadow banking sector to the regulated banking system (the Guidelines),…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law
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