Annual Reports

News & Analysis as of

FHA Submits Annual Report to Congress, Capital Reserves Exceed 2%

On November 16, HUD released FHA’s annual report to Congress on the financial condition of its Mutual Mortgage Insurance (MMI) Fund. For the first time since 2008, the report shows that FHA’s MMI fund’s capital ratio exceeds...more

SEC Publishes 2015 Whistleblower Report

The SEC published its 2015 Annual Report on the Dodd-Frank Whistleblower Program. The report indicates the SEC received 3,923 tips in fiscal year 2015, compared to 3,620 tips in fiscal year 2014. From fiscal year 2012, the...more

FSB reports on compensation practices

FSB has published its fourth annual progress report on implementing its Principles for Sound Compensation Practices and their implementation standards. The report finds that: - almost all FSB jurisdictions have now fully...more

FERC considers 2015 enforcement report

The Federal Energy Regulatory Commission is scheduled to consider its 2015 Report on Enforcement when it meets later this week. The FERC is an independent federal agency charged with regulating certain U.S. energy...more

"Corporate Finance Alert: SEC Finalizes Crowdfunding Rules, Proposes to Expand Intrastate Offering and Rule 504 Exemptions"

The U.S. Securities and Exchange Commission (SEC) recently took several important steps to facilitate smaller securities offerings. First, it adopted final rules for the new Securities Act exemption for securities-based...more

CFPB issues third Financial Literacy Annual Report

The CFPB has issued its third Financial Literacy Annual Report to Congress. The report covers the CFPB’s activities to improve consumer financial literacy during the period from June 2014 through September 2015. The report’s...more

Following the Wisdom of the Crowd? A Look at the SEC’s Final Crowdfunding Rules

In this alert, we provide a detailed overview of the final rules, Regulation Crowdfunding, which will be applicable to crowdfunding offerings conducted in reliance on Section 4(a)(6) of the Securities Act of 1933 as amended...more

Title III Crowdfunding is Coming – Is It Right For You?

On Friday, the SEC approved equity crowdfunding for non-accredited investors in a 3-1 vote. This is the true equity crowdfunding from the JOBS Act of 2012 known as Title III. Given it has been more than three years to get the...more

FIO Issues 2015 Annual Report

Last month, the Federal Insurance Office (“FIO”) issued its Annual Report for 2015. The Report discusses many financial consumer protection and regulatory issues, both domestic and international, relating to the business of...more

CFPB Releases Annual Report on Student Loan Complaints

On October 14, the CFPB released its annual report of the CFPB Student Loan Ombudsman, which analyzes consumer complaints submitted from October 1, 2014 through September 30, 2015 and provides an examination of issues raised...more

Disclosure Rules Regarding Payments by Resource Extraction Issuers Have Been “Unlawfully Withheld” by the SEC – Court Orders...

Yesterday, a federal judge ordered the SEC to file with the court an expedited schedule for promulgating final rules requiring disclosure of government payments by resource extraction issuers. The SEC has 30 days to file the...more

Alert: Modern Slavery Act 2015

Larger businesses will soon be required to prepare an annual, public-facing, slavery and human trafficking statement under new requirements imposed by the Modern Slavery Act 2015. This obligation is commonly referred to as...more

Pensions News - July 2015

Welcome to DLA Piper’s Pensions News publication in which we report on developments in pension legislation, guidance and case law, as well as keeping you up to speed on what to look out for in the coming months. This...more

EEO Program Annual Reports Due by September 30, 2015

This is a reminder that all MVPDs must file their Equal Employment Opportunity (“EEO”) Program Annual Report by September 30th. In addition, specific MVPDs identified by the Commission must complete the Supplementary...more

SEC Adopts Final Rules Requiring Pay Ratio Disclosure

On August 5, 2015, the Securities and Exchange Commission adopted final rules mandating pay ratio disclosures pursuant to Section 953(b)(1) of the Dodd Frank Wall Street Reform and Consumer Protection Act. The rules add a new...more

FCA Reports Low Levels of Potential Insider Trading: The result of effective enforcement or the free hand of the market?

In its annual report published last month, the FCA found that suspicious trading in the run up to M&A deals being announced is at a historic low. It reports that its "market cleanliness" statistic for takeover announcements...more

SEC Adopts Final Rules on CEO Pay Ratio Disclosure

Companies are required to disclose the ratio of median employee annual total compensation to CEO annual total compensation starting in the 2018 proxy season; foreign private issuers, emerging growth companies and smaller...more

OECD Releases Its Annual Tax Administration Report

On August 11, 2015, the Organisation for Economic Co-operation and Development (OECD) released its annual report addressing global tax administration. The OECD’s stated mission is to “promote policies that will improve the...more

Prime Minister: Businesses with Turnover of £36 Million or More Must Publish Annual Statements on Slavery and Human Trafficking

This morning the Prime Minister made an important announcement regarding the new reporting requirement in the Modern Slavery Act. David Cameron confirmed that businesses with a turnover of £36 million or more will be caught...more

Governance & Securities Law Focus: Europe Edition - July 2015

In this issue: - Financial Reporting: Commission Delegated Regulations on Equivalence of Certain Third Country National GAAPs to IFRS - Proxy Advisers: ESMA Consultation on Best Practise Principles for Voting...more

Alert: Reminder - File Your Annual Reports to Avoid Dissolution of Your Entity

If your entity is delinquent in filing its annual report, it may be subject to dissolution by the Connecticut Secretary of State. All domestic Connecticut and foreign registered entities are required to file an annual...more

CFPB Report Addresses Need for a Compliance Management System

The CFPB's Supervisory Report Provides Important Insight into the CFPB's Supervision and Enforcement Priorities and Desired Business Practices. HIGHLIGHTS: - The Consumer Financial Protection Bureau (CFPB)...more

Privacy and Transparency in the Context of Government Data Requests

The Electronic Frontier Foundation (EFF) recently released its fifth annual report evaluating the practices of several online service providers with regard to government access to user data. The report rates the major online...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Corporate Governance for Investment Firms - The Central Bank has issued a consultation paper regarding the appropriate corporate governance requirements to be applicable to investment firms. The relevant paper, CP 94,...more

Orrick's Financial Industry Week in Review

EBA 2014 Annual Report - On June 15, 2015, the European Banking Authority (EBA) published its annual report for 2014. The report provides an overview of the EBA's activities and achievements in 2014, including...more

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