Annual Reports

News & Analysis as of

Ongoing Obligations Under AIFMD for Non-EEA Private Fund Managers – Regulatory Reporting, Annual Investor Report and Investor...

The Alternative Investment Fund Managers Directive (the “AIFMD”) introduces new requirements for alternative investment fund managers (“AIFMs”) established in the European Economic Area (“EEA”) and non-EEA AIFMs that market...more

Hart-Scott-Rodino 2013 Annual Report: Filings Decreased, Transactions Investigated Increased and Enforcement Continues for...

On May 21, 2014, the Federal Trade Commission and the Department of Justice published the Hart-Scott-Rodino Annual Report Fiscal Year 2013 (for the period from October 1, 2012 to September 30, 2013). The Annual Report...more

OCR Annual Report Highlights Breaches Of Unsecured Protected Health Information

The Health Information Technology for Economic and Clinical Health Act ("HITECH") requires Covered Entities and Business Associates to provide notification of breaches of unsecured Protected Health Information. The Department...more

ESMA Publishes Its Annual Report

The European Securities and Markets Authority (ESMA) has published its annual report for 2013 on its website. The annual report highlights the objectives of ESMA through 2013 and the extent to which it achieved those...more

ACER 2014 REMIT Report Confirms Continued Inquiries into Market Conduct

ACER calls for substantial funding increase to enable more aggressive monitoring and enforcement efforts in coordination with national regulators. On Tuesday 10 June 2014, the Agency for the Cooperation of Energy...more

European Union Moves Closer to Mandatory Social and Environmental Reporting

The European Union took another step toward requiring large companies to publish social and environmental performance reports when the European Parliament approved amendments to a draft directive by a 599-55 majority last...more

Is it Time to Reconsider Earnings Guidance?

I always enjoy Warren Buffet’s annual letter to Berkshire Hathaway’s shareholders. While it’s true that he, like most (all?) heads of public companies, can’t resist a healthy dose of bragging about recent successes and their...more

Corporate Communicator - Winter 2014

2014 ANNUAL MEETING SEASON - Dear clients and friends, We present to you our traditional year-end issue of Snell & Wilmer’s Corporate Communicator to help you prepare for the upcoming annual report and proxy...more

Massachusetts Nonprofit Annual Reports Due November 1, 2013

As a reminder, nonprofit organizations incorporated or operating in The Commonwealth of Massachusetts have until Friday, November 1, 2013 to file their annual reports with the Secretary of the Commonwealth. Nonprofit annual...more

Proposed Amendments to the Corporate Governance Principles

In August last year, the Australian Securities Exchange (ASX) Corporate Governance Council (Council) undertook a review of the Corporate Governance Principles and Recommendations (Recommendations) in response to the corporate...more

The SEC's Proposed Pay Ratio Rule: What it Could Mean for Your Upcoming Filings

Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) mandates the Securities and Exchange Commission (SEC) to amend Item 402 of Regulation S-K (Item 402) to require certain companies to...more

SEC Issues Proposed "Pay Ratio" Disclosure Rules

The Securities and Exchange Commission recently issued proposed regulations on the “Pay Ratio” disclosure rules. Under these rules, a public company must disclose the ratio of the median of annual total compensation for all...more

The Corporate Communicator - Fall 2013

In this issue of the Corporate Communicator, we provide a summary of the Securities and Exchange Commission’s recently proposed pay ratio disclosures. The pay ratio (sometimes referred to as the “pay disparity” ratio)...more

"SEC’s Proposed CEO Pay Ratio Disclosure Rules — Costly and Complicated"

The SEC has proposed rules to implement the “CEO pay ratio” disclosure requirements under Section 953(b) of the Dodd-Frank Act. The proposed rules would require many SEC reporting companies to publicly disclose the...more

SEC Proposes Rules on Pay Ratio Disclosure

On September 18, 2013, the Securities and Exchange Commission (the “SEC”) approved by a three-to-two vote proposed rules (the “Proposed Rules”) implementing Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer...more

SEC Proposes Long-Awaited Pay Ratio Rules

On September 18, 2013, in a 3-2 vote of commissioners cast along party lines, the Securities and Exchange Commission (the “SEC”) proposed rules to implement Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer...more

SEC Issues Proposed Pay Ratio Rules

On September 18, 2013, the SEC voted 3 to 2 in favor of proposed "pay ratio" rules, which require each registrant to disclose the median of the annual total compensation of all of its employees (the MATC), the annual total...more

SEC Proposes Pay Ratio Rules

On September 18, 2013, pursuant to Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission issued proposed rules that will amend Item 402 of Regulation S-K to...more

Rhode Island Appellate Practice - Special Edition: Statistics on Resolution of Cases before the Rhode Island Supreme Court

This special edition of the Fast Five on Rhode Island Appellate Practice features four questions an appellate attorney should be prepared to answer. Statistics reported in the Rhode Island Judiciary’s 2012 Annual Report...more

PCAOB Proposes Significant Changes To Auditor’s Report And Responsibilities For Annual Reports Filed With The SEC

As a result of ongoing efforts to improve the informational value of the auditor’s reporting model, on August 13, 2013, the Public Company Accounting Oversight Board (PCAOB) proposed two new auditing standards for public...more

SEC Issues Final Rules On Audits Of Broker-Dealers

The SEC has amended certain broker-dealer annual reporting, audit, and notification requirements. ...more

Financial Conduct Authority (FCA) Report on Market Cleanliness

As part of its market monitoring activity reported in its Annual Report published on July 10, the FSA analyzed the scale of share price movements in the two days ahead of regulatory takeover announcements and identified...more

Court Vacates SEC Resource Extraction Rules

The United States District Court for the District of Columbia has vacated the SEC resource extraction disclosure rules....more

Update On Federal Insurance Office

The Federal insurance Office, or FIO, which was established by the Dodd-Frank Act, has issued its annual report. ...more

Treasury Secretary Testifies about CMBS Markets and Dodd Frank

On May 21, 2013, Treasury Secretary Jack Lew in his role as Chairman of the Financial Stability Oversight Council ("FSOC") testified before the House Financial Services Committee. In its annual report, the FSOC stated that...more

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