Disclosure Requirements, Compliance

CIS Legal Update - May 2013: New Restrictions Imposed on Russian State Officials

by Andrey Dukhin | Dechert LLP on 5/15/2013

On April 27, 2013 the Federal Council of the Russian Federation approved a law prohibiting certain categories of individuals from opening and maintaining accounts and cash deposits in foreign banks situated outside of Russia,...more

California Fair Claims Settlement Practices Regulations

by Bruce Celebrezze, Marilyn Klinger | Sedgwick LLP on 5/13/2013

Table of Contents: Introduction; PART ONE - Summary of Fair Claims Settlement Practices Regulations; Introduction; Claims Handling Duties; Acceptance or Rejection of Claims; Settlement Offers and Payment of Accepted...more

California Energy Commission Amends Nonresidential Building Energy Disclosure Regulations

by Kirsten Day, Teresa Jacobs | Perkins Coie on 5/10/2013

The California Legislature adopted Section 25402.10 of the California Public Resources Code in 2007. The Code requires each nonresidential building owner throughout the state to document and disclose a building’s energy use...more

SEC Settles with Service Providers and Trustees of two Mutual Fund Trusts for Inaccurate Disclosures Regarding Section 15(c)...

by Ropes & Gray LLP on 5/7/2013

On May 2, 2013, the SEC filed an order instituting settled administrative proceedings against the trustees (“Trustees”) and certain service providers of two “turnkey” open-end series investment companies, Northern Lights Fund...more

HIPAA Task Force – May 2013

by Jennifer Spiegel Berman, Molly E. G. Ferraioli, Thora A. Johnson, Jessica Kuester, Peter Parvis | Venable LLP on 5/2/2013

In this issue: - What Your Business Needs To Do About Hipaa — Now - Action Items for Covered Entities and Business Associates (including Subcontractors) - Changes Impacting Business Associates (including...more

Corporate Finance Alert: The Use of Non-GAAP Financial Measures — A Disclosure Guide

by Skadden, Arps, Slate, Meagher & Flom LLP on 5/1/2013

Companies commonly supplement their reported earnings under U.S. generally accepted accounting principles (GAAP) with non-GAAP financial measures that they believe more accurately reflect their results of operations or...more

FINRA Formalizes Position on Pre-Inception Index Performance Data

by Richard F. Morris, John O'Brien | Morgan Lewis on 4/26/2013

Interpretive letter outlines the conditions for the use of exchange-traded product marketing materials containing pre-inception index performance, including disclosure requirements, performance presentation standards, and a...more

New California Landlord Disclosure Requirements Effective July 1

by David Barksdale, Gary York | Ballard Spahr LLP on 4/24/2013

Two new landlord disclosure requirements become effective in California on July 1, 2013. One requires that all new commercial leases state whether the property has been inspected for disability access—and if so, the results....more

All Fund Managers Marketing in the European Union Must Take Note: First Deadline Under European Union Alternative Investment Fund...

by Jeffrey D. Collins, Meredith Haviland | Foley Hoag LLP on 4/9/2013

The first compliance date under the European Union’s recently adopted Alternative Investment Fund Managers Directive (the “AIFMD”) is July 22, 2013....more

Recent Developments and Trends for Exempt Organizations

by Ropes & Gray LLP on 3/18/2013

2012 was a busy year for the IRS with respect to tax-exempt organizations and 2013 promises more of the same. While the effects of the budget sequester on the IRS regulation writers and auditors is uncertain, we anticipate...more

A Roadmap for Audit Committees in Meeting the Challenges Posed by Enhanced Regulatory Scrutiny Under the Dodd-Frank Act

by N. Richard Janis, Jennifer Sincavage | Manatt, Phelps & Phillips, LLP on 2/25/2013

Audit committees must aid management in navigating an increasingly complex regulatory framework. Two recent developments arising from the passage and implementation of the Dodd-Frank Act have led to further challenges for...more

Inside M&A - Winter 2013

by Obiamaka P. Madubuko, Jeffrey Rothschild, Frank Schoneveld, Jake Townsend | McDermott Will & Emery on 2/22/2013

In This Issue: - FCPA Due Diligence is Critical to Avoid Successor Liability in Cross-Border Transactions - China’s Merger Control Rules...more

Data Security Obligations Continue to Tighten Under New HIPAA Rules

by Richard Green | McCarter & English, LLP on 1/21/2013

The Department of Health & Human Services released much-anticipated new rules January 17, which continue to tighten data security obligations for most companies. Specifically, HHS has modified existing Regulations (45 CFR...more

Employers Should Use Revised FCRA Disclosure for Employees and Job Applicants

by Keith Barnett, Thomas Bundy, III, Knox Dobbins, Peter Farley, Jaliya Stewart Faulkner, Allegra Lawrence-Hardy, Jason Stone, Mark Thibodeaux, Annette Tripp, Gail Westover | Sutherland Asbill & Brennan LLP on 1/16/2013

Employers who use consumer reports as part of their decision-making process in the hiring, promotion or firing of employees should note the attached “A Summary of Your Rights under the Fair Credit Reporting Act” issued by the...more

New Reporting Requirements Under the Iran Threat Reduction and Syria Human Rights Act of 2012

by Benji Jones, A. Heath Tripp | Smith, Anderson, Blount, Dorsett, Mitchell &... on 1/15/2013

On August 10, 2012, the United States delivered its latest economic blow to Iran by enacting the Iran Threat Reduction and Syria Human Rights Act of 2012. U.S. companies have long been forbidden from engaging in most...more

Revised NASDAQ Rules Relating to Public Disclosure by Listed Issuers Following Receipt of Notification of Non-compliance with...

by David S. Rosenthal | Dechert LLP on 12/20/2012

The U.S. Securities and Exchange Commission (“SEC” or the “Commission”) has approved a NASDAQ proposed rule change that revises disclosure requirements following a listed issuer’s receipt of notification from NASDAQ that the...more

Deadlines Approaching for Fee Disclosures under ERISA, and DOL Issues Guidance on Participant-Level Fee Disclosures

by Reed Smith on 5/11/2012

Pursuant to the DOL’s disclosure regulations issued under ERISA section 408(b)(2), employers sponsoring ERISA benefit plans should be receiving fee disclosures from the plans’ covered service providers regarding the service...more

Important Deadlines for ERISA Plans to Receive and Report Information on Fees, Expenses

by Katten Muchin Rosenman LLP on 4/4/2012

Coming up this summer are a number of reporting and disclosure deadlines under the Employee Retirement Income Security Act of 1974 (ERISA) that deal with fees and expenses paid by plans that are subject to ERISA. Service...more

"Insights Special Edition: Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals: Hedge Fund and Private Equity Fund Sponsorship...

by Skadden, Arps, Slate, Meagher & Flom LLP on 11/17/2011

The Volcker Rule prohibits a banking entity from sponsoring or investing in a hedge fund or private equity fund, subject to certain exceptions. The proposed regulations expand the definitions of “hedge fund” and “private...more

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Disclosure Requirements › Compliance