Annual Reports

News & Analysis as of

U.S. SEC Approves Proposals to Modernize Reporting Requirements for Registered Investment Companies and Registered Investment...

The U.S. Securities and Exchange Commission (SEC) today unanimously approved proposals (Proposals) to modernize the reporting of information provided by registered investment companies (funds) and registered investment...more

The BakerHostetler Data Security Incident Response Report 2015

The rate of disclosures of security incidents in 2015 continues at a pace that caused many to call 2013 and then 2014 “the year of the breach.” Most incidents are described publicly with attention-grabbing terms such as...more

CSBS Announces Multi-State Regulatory Groups’ Annual Reports to State Regulators

On April 27, the Conference of State Bank Supervisors (CSBS) announced that three working groups of state regulators – the State Coordinating Committee (SCC), the Multi-State Mortgage Committee (MMC), and the Multi-State MSB...more

Blog: CMS’ Annual Open Payments Report to Congress Highlights Some Key Areas to Watch

The Centers for Medicare & Medicaid Services (CMS) must submit an annual report to Congress in connection with the federal Sunshine law. ...more

CFPB Announces Final Diversity Standards under Dodd-Frank Section 342 Are Completed

On April 29, 2014, the Office of Minority and Women Inclusion (OMWI) of the Consumer Financial Protection Bureau (CFPB or Bureau) released its third Annual Report for 2014, as mandated by section 342(e) of the Dodd-Frank Act...more

New York City Passes Laws Enhancing Enforcement of Human Rights Law

On April 20, New York City Mayor Bill DiBlasio signed a pair of bills designed to enhance the City Human Rights Commission’s investigative and enforcement efforts in the areas of employment and housing discrimination. The...more

2014 Reports Forecast Regulatory Compliance Challenges for Licensed Financial Services Companies

Mortgage companies and other financial services entities should carefully heed messages provided by their regulatory agencies in three recently released reports. Specifically, on April 27, 2015, three working groups comprised...more

Who Files The Most Permit Applications?

California Corporations Code Section 25113(d) requires the Commissioner of Business Oversight to prepare and publicize an annual report of the number of permits that it issues for the offer and sale of securities. The report...more

OIG Releases Medicaid Fraud Control Units Fiscal Year 2014 Annual Report

The OIG has released its Medicaid Fraud Control Units (MFCU) Fiscal Year 2014 Annual Report, which highlights statistical achievements of the 50 MFCUs nationwide, along with related OIG oversight activities. With regard to...more

DOJ Submits 2014 Equal Credit Opportunity Act Annual Report to Congress

On April 13, the DOJ released its 2014 Annual Equal Credit Opportunity Act (ECOA) Report highlighting its activities to address credit discrimination. The twenty-page report highlights discrimination lawsuits and settlements...more

FTC Releases 2014 Annual Highlights Report

On April 15, the FTC released its 2014 Annual Highlights Report (Report), summarizing the FTC’s work during the prior year to protect consumers and promote competition in industries such as mobile technology, healthcare, and...more

Some Stats On The Business Court

When the North Carolina Legislature "modernized" the Business Court last year, it added a provision to the General Statutes mandating that the Director of the Administrative Office of the Courts prepare a report, twice a...more

USPTO Issues Performance and Accountability Report for FY 2014

The U.S. Patent and Trademark Office recently released its Performance and Accountability Report for Fiscal Year (FY) 2014. In contrast with last year's report, the 2014 report notes that the Office issued a new strategic...more

DOJ and HHS Annual Report Highlights $3.3 Billion in Settlements and Judgments in FY 2014

On March 19, 2015, the Department of Justice (DOJ) and Department of Health and Human Services (HHS) issued their annual Health Care Fraud and Abuse Control (HCFAC) Program report highlighting that the HCFAC Program obtained...more

CFPB issues No FEAR Act report

The CFPB has issued its No FEAR Act Annual Report for FY 2014. The “No FEAR Act” is the Notification and Federal Employee Antidiscrimination and Retaliation Act of 2002. It requires federal agencies to submit an annual report...more

CFTC Staff Issues No-Action Relief Regarding CCO Annual Report Timing Requirement

On March 27, CFTC Division of Swap Dealer and Intermediary Oversight announced that it is providing no-action relief to futures commission merchants, swap dealers and major swap participants from their obligation under...more

Department of Justice Imposes More Than $110 Million in Fines on Medical Device Makers

On March 19, 2015, the U.S. Department of Justice and the U.S. Department of Health and Human Services issued their joint annual report on health care fraud and abuse control. The annual report states that during fiscal year...more

Corporate & Financial Weekly Digest - Volume X, Issue 13

In This Issue: - CFTC Extends Portfolio Margining on ICE Clear Europe - CFTC Extends CCO Report Filing Deadline - CFTC Issues Relief to Swap Dealers Regarding Legacy SPV Swaps - CME Updates Order...more

Blog: Companies Breathe Sigh Of Relief — FASB To Propose Deferral Of Effective Date Of New Revenue Recognition Standard

According to FASB’s “Tentative Board Decisions,” the FASB board decided yesterday to defer the effective date of the new revenue recognition standard by one year. As a result, public companies will need to apply the new...more

Important Recommendations from the MedPAC March Report to Congress, Part One

Each March, the Medicare Payment Advisory Commission (“MedPAC” or the “Commission”) is tasked with reporting to Congress on the current state of the Medicare fee-for-service (“FFS”) payment systems, the Medicare Advantage...more

"Annual Meeting Proxy Statement Filing Reminders"

Following are a few points to consider when preparing proxy statement materials for filing with the U.S. Securities and Exchange Commission (SEC) in connection with annual shareholder meetings....more

"CFTC Extends Annual Report Deadline for Certain Chief Compliance Officers"

Last week, the Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) issued no-action relief that provides chief compliance officers (CCOs) of registered swap dealers (SDs),...more

CFPB issues FDCPA 2015 report

The CFPB has issued its fourth annual FDCPA report covering the CFPB’s activities in 2014. The section of the report that reviews consumer complaints about debt collection received by the CFPB in 2014 recycles information...more

CFPB 2014 complaints report shows large increase in debt collection and credit reporting complaints

The CFPB’s Consumer Response Annual Report analyzing complaints handled in 2014 indicates that volume rose 53% from 163,700 complaints in 2013 to 250,200 in 2014. The report provides data on the most common types of...more

CFTC Provides Chief Compliance Officers Additional Time to Submit Annual Reports

The CFTC’s Division of Swap Dealer and Intermediary Oversight issued a no-action letter to futures commission merchants, swap dealers and major swap participants, referred to as registrants, that provides relief from certain...more

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