News & Analysis as of

Disclosure Requirements Compliance

"Cybersecurity Trends for Boards of Directors"

Cybersecurity has in recent years become an integral component of a board’s role in risk oversight, but directors often find themselves in unfamiliar territory when it comes to formulating policies and oversight processes...more

Chicago Proposes Pharma Rep Licensing Rules and Ethical Standards

by Dechert LLP on

The City of Chicago Commissioner of Public Health on Friday, March 17, published proposed Rules to implement the highly-publicized pharmaceutical representative licensing ordinance enacted in November 2016....more

SEC Staff Issues Guidance Update and Investor Bulletin on “Robo-Advisers”

by Dechert LLP on

The staff of the Division of Investment Management (Staff) of the U.S. Securities and Exchange Commission (SEC) published a Guidance Update (Guidance) on February 23, 2017, on the subject of automated investment advisers...more

Personal Advice for Robo-Advisers: Beef Up Disclosure and Compliance

by Morrison & Foerster LLP on

Robo-advisers, those automated bots that offer up personalized investment advice with little, if any, human contact, face increased regulatory scrutiny as they grow more popular. After monitoring and engaging them for...more

Not Correctly Reporting Losses: An Internal Controls Failure

by Thomas Fox on

A recent Securities and Exchange Commission (SEC) internal controls enforcement action drew my attention. It was not a Foreign Corrupt Practices Act (FCPA) enforcement action but it certainly does have implications for a...more

The “New” Face of Corporate Misconduct

by Michael Volkov on

As we look across the corporate governance landscape and focus on the spikes of corporate scandals, I started to wonder if there was any pattern or trend to the nature of corporate scandals....more

Mexico’s New Anti-Corruption Initiative

by Michael Volkov on

Mexico has amended its laws and administrative procedures to implement a new and aggressive administrative anti-corruption regime. Mexico’s efforts have won praise from the OECD and other anti-corruption interest groups. The...more

SEC Adopts New Rules Requiring Disclosure of Resource Extraction Payments

On June 27, 2016, the Securities and Exchange Commission (SEC) adopted new rules requiring certain producers of oil, natural gas and minerals to publicly disclose information regarding payments to the U.S. federal government,...more

SEC Proposes New Rules That Would Make Available Scaled Disclosure to More Companies

by McDermott Will & Emery on

In Depth - On June 27, 2016, the Securities and Exchange Commission (SEC) proposed amendments to its rules and regulations that would expand the number of companies that qualify as “smaller reporting companies” by...more

Joe Howell on the PCAOB, Audits and Compliance – Part IV

by Thomas Fox on

This week I have been exploring the Public Accounting Oversight Board (PCAOB) with Joe Howell, an Executive Vice President (EVP) with Workiva Inc. We have considered how some of the issues addressed by the PCAOB directly...more

DOL Persuader Regulations Expose Every Employer to Reporting Requirements and Disclosures

by Morgan Lewis on

All employers should examine their use of labor and employment service providers to mitigate unwanted disclosure of fees paid to such providers. To protect confidentiality and the integrity of the attorney-client...more

A New Front in the Climate Change Debate

by JD Supra Perspectives on

The climate change debate has taken a new turn with the recent revelations from New York Attorney General Eric Schneiderman’s office. A legal perspective from Skadden attorneys Noelle Reed and Wallis Hampton....more

HFSB updates standards

by Dentons on

HFSB has issued a revised version of its Hedge Fund Standards following a consultation on managing conflicts of interest earlier in 2015. The amendments have been made to strengthen internal compliance procedures and improve...more

The Modern Slavery Act 2015: Transparency Reporting Provisions

by Latham & Watkins LLP on

What do the new UK transparency reporting provisions mean for companies? The UK is at the forefront of the global move to tackle human trafficking and prevent modern forms of slavery by introducing the Modern Slavery Act...more

Crowdfunding Regulations

by Pepper Hamilton LLP on

On October 30, 2015, the Securities and Exchange Commission (SEC) adopted final crowdfunding rules. More than two years after the publication of the proposed crowdfunding rules, the SEC approved regulations that permit...more

FCA consults on Handbook disclosure requirements

by Dentons on

FCA is consulting on removing certain disclosure requirements from its Handbook. It thinks the requirements are not effective in terms of informing customers about a product or service. The consultation proposes amendments in...more

Consider Refreshing Your Existing SEC Disclosure

by Baker Donelson on

As the fiscal year wraps up and SEC registrants begin to think about their 10-K and proxy, this is a good time for businesses to refresh their disclosure and to consider whether language that reappears annually still...more

A Compilation of Enforcement and Non-Enforcement Actions

by Foley & Lardner LLP on

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

Managing Legal and Reputational Risks in an Era of Enhanced Transparency

Companies face a range of new requirements and expectations calling for enhanced transparency regarding human rights-related risks in connection with their operations. Responsible compliance with both mandatory requirements...more

Food and Beverage Law Update: October 2015

by Holland & Knight LLP on

Labor and Employment - Plaintiff Wage and Hour Lawsuits Continue to Climb - Wage and hour litigation has become what some call the new "workplace revolution." Data from the Federal Judicial Center indicates that...more

CFPB Finalizes Rule to Improve Information About Access to Credit in the Mortgage Market

On October 15, 2015, the Consumer Financial Protection Bureau issued a final rule that revised the reporting requirements under the Home Mortgage Disclosure Act. Most of these changes take effect on January 1, 2018....more

Key Takeaways from the Consumer Protection Forum

by Holland & Knight LLP on

Holland & Knight and the Word of Mouth Marketing Association (WOMMA) hosted a half-day forum that featured government officials discussing hot-button issues in consumer protection regulation and enforcement. Speakers at the...more

NLRB Election Rules Update: Employers must exercise due diligence in searching for and disclosing “available” voter contact...

by Franczek Radelet P.C. on

In April of this year, the National Labor Relations Board’s new expedited election rules went into effect. Under the new rules, employers are required to provide unions with “available” personal e-mail addresses and personal...more

U.S. SEC Proposes Liquidity Risk Management Programs, Optional “Swing Pricing,” and Liquidity Reporting for Mutual Funds and...

by K&L Gates LLP on

On September 22, 2015, the Securities and Exchange Commission (“SEC”) proposed a new rule and amendments to rules and reporting forms under the Investment Company Act of 1940 (the “1940 Act”), designed to standardize...more

What's Market? Update: Securities

by Goulston & Storrs PC on

Amendments to Regulation A adopted by the SEC to comply with a mandate in the JOBS Act took effect on June 19, 2015. Regulation A as amended (often referred to as “Regulation A+”) expands the maximum aggregate amount that...more

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Cybersecurity

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