News & Analysis as of

Annual Reports

CFTC Proposes to Amend Chief Compliance Officer Duties and Annual Report Requirements

by Morrison & Foerster LLP on

On May 3, 2017, the Commodity Futures Trading Commission (“CFTC”) approved for publication in the Federal Register proposed amendments to its rules regarding the duties of Chief Compliance Officers (“CCOs”) for swap dealers...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - CFTC Proposes to Amend Rules Governing Chief Compliance Officer Duties and Annual Reports for Certain Registrants - On May 3, 2017, the U.S. Commodity Futures Trading Commission...more

If The Market Makes You Do It, Why Should The SEC?

by Allen Matkins on

The basic premise underlying most disclosure requirements seems to be that issuers won’t disclosures to investors unless legally required to do so. Yet, there is ample evidence of issuers making disclosures in the absence of...more

First annual report on notarial disciplinary law cases 2015 a first impression (Dutch)

by Dentons on

The first annual report of the notarial disciplinary court. On January 1, 2018, the Act enters into charge monitoring and disciplinary legal professions (Staatsblad 2016, 500). Then art. 94a Law on the lawyer's law to gain...more

CFTC Proposes Amendments to Chief Compliance Officer Duties and Annual Reports

The CFTC is proposing to amend its regulations regarding certain duties of chief compliance officers, or CCOs, of swap dealers, major swap participants and futures commission merchants, which are referred to as registrants....more

Debt Dialogue: April 2017 - Anti-Fraud Liability for a Violation of Duty to Disclose Trends Heads to the Supreme Court

Item 303 of Regulation S-K requires issuers to disclose in their annual reports on Form 10-K and quarterly reports on Form 10-Q “known trends or uncertainties that have had or that the registrant reasonably expects will have...more

CFPB’s Fair Lending Report Indicates Increased Focus for 2017 on Servicing and Small Business Lending

For many of us, the mention of fair lending enforcement immediately brings us to the origination side of the industry, specifically conjuring thoughts of redlining and Home Mortgage Disclosure Act (HMDA) data. While these...more

Maine PUC releases 2015 renewable report

by PretiFlaherty on

Maine energy regulators have released a report on the state's electricity renewable portfolio standard, presenting data from 2015. The Maine Public Utilities Commission's Annual Report on New Renewable Resource Portfolio...more

CFPB’s Office of Minority and Women Inclusion issues annual report

by Ballard Spahr LLP on

The CFPB’s Office of Minority and Women Inclusion (OMWI) has issued its annual report to Congress covering the OMWI’s activities in FY 2016. The Dodd-Frank Act required the CFPB and various other federal agencies, including...more

Food, Dietary Supplement & Cosmetics Update | Vol. IV, Issue 3

by Jones Day on

FDA Amends Waivers to Sanitary Transportation Rule - On April 6, 2017, the Food and Drug Administration ("FDA") notified industry regarding the amendment of waivers available under the Sanitary Transportation of Human...more

Kansas Strengthens Third Party Administrator Laws

by Polsinelli on

Kansas Senate Bill No. 22, which became effective on March 9, 2017, amends the Kansas Third Party Administrator laws and appears designed to make them more robust by incorporating much of the language from the new National...more

CFPB issues annual complaint report

by Ballard Spahr LLP on

The CFPB has issued its annual Consumer Response Report that provides an analysis of the approximately 291,400 complaints handled by the CFPB between January 1 and December 31, 2016. According to the report, complaint volume...more

SEC Staff Guidance on Regulation A Offerings

On March 31, 2017, the SEC Staff published five Compliance and Disclosure Interpretations (C&DIs) relating to Regulation A. ...more

NY AG Report Shows Number of Data Breaches Soared in 2016

Unfortunately, it was a record breaking year in the State of New York for data breaches. The New York Attorney General (AG) released his annual data breach report, which announced that the AG’s Office received 1,282 data...more

2016 GAO Bid Protest Annual Report

by PilieroMazza PLLC on

GAO recently released its annual report to Congress, which included data concerning its protest ?lings for Fiscal Year 2016. Based on the data, 2016 was an historic year. GAO not only decided more cases on the merits in...more

European Labour & Employment Update - March 2017

by Jones Day on

New rules have come into force concerning employees' rights to disconnect from digital devices outside normal working time. From 1 January 2017, all relevant employers must negotiate on the employees' right to have periods...more

United Kingdom: Gender Pay Gap Reporting Laws Update, European Labour & Employment Update

by Jones Day on

A reminder that the government has published its final draft form of the Gender Pay Gap Regulations, which come into force on 6 April 2017. The Regulations oblige relevant employers to report on their gender pay gap on an...more

"Annual Meeting Proxy Statement Reminders"

As companies finalize their proxy materials for annual shareholder meetings, they should consider the following U.S. Securities and Exchange Commission (SEC) filing and disclosure requirements. Ensure clarity on the proxy...more

Minnesota Lobbyist Principal Reports Due Wednesday, March 15, 2017

In accordance with the Minnesota Campaign Finance and Public Disclosure Act, all lobbyist principals must file an Annual Report with the Minnesota Campaign Finance and Public Disclosure Board ("Board") on or before March 15,...more

Sustainability Reporting Continues to Mature

Several years ago, voluntary sustainability reporting in proxy statements, annual reports to shareholders, websites and special sustainability reports to various stakeholders began to take hold, even as the SEC continued to...more

Finance Lenders Annual Report Deadline Is Nigh

by Allen Matkins on

Lenders and brokers licensed under the California Finance Lenders Law must file an annual report by the Ides of March (i.e., March 15) of each year. Cal. Fin. Code § 22159. This is a hard deadline and the Department of...more

XBRL for Foreign Private Issuers: Coming in 2018

by Latham & Watkins LLP on

The SEC will require foreign private issuers that report in IFRS to submit XBRL financial statements for annual reports filed during 2018. On March 1, 2017, the Securities and Exchange Commission (SEC) published a...more

These Three Key FMLA and ADA Resources Will Help You Conquer the World

by Franczek Radelet P.C. on

If you have any interest in vastly improving your FMLA and ADA mojo, here are three can’t miss resources you need to make part of your professional reading and education each spring: 1. Review the ABA’s Report of 2016...more

Federal Reserve Reports Moderate Pace Growth, Rising of Inflation, and Potential Increase in Federal Funds Rate

by Ruder Ware on

Chairwoman Janet Yellen presented her semi-annual report to the Senate Committee on Banking, Housing and Urban Affairs on February 15th where she testified that she expects the economy to continue to expand at a moderate pace...more

Upcoming Group Health Plan Annual Reporting Deadlines

by Bass, Berry & Sims PLC on

With all the recent and pending changes shaking up the Employee Benefits world, at least a few things are remaining constant.  Here are a few upcoming annual reporting deadlines for group health plans...more

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