Guidance Update

News & Analysis as of

U.S. SEC Division of Investment Management Issues Cybersecurity Guidance

The Division of Investment Management (Division) of the U.S. Securities and Exchange Commission (SEC) issued a Guidance Update on April 28, 2015 (Guidance) relating to the cybersecurity of registered investment companies and...more

"CFTC Issues Revised Embedded Volumetric Optionality Interpretation for Swaps"

On May 12, 2015, the Commodity Futures Trading Commission (CFTC) issued revised interpretive guidance for forward contracts with embedded volumetric optionality (EVO). In 2012, the CFTC and Securities and Exchange Commission...more

SEC Clarifies “Voting Equity Securities” for Purposes of the Bad Actor Rules

The Securities and Exchange Commission (the “SEC”) recently released additional guidance on the definition of “voting equity securities” as applied to the bad actor disqualification rules under Rule 506(d) of the Securities...more

SEC Division of Investment Management Issues Cybersecurity Guidance for Investment Funds and Advisers

The U.S. Securities and Exchange Commission’s (“SEC”) Division of Investment Management (“Division”) recently released a Guidance Update (“Guidance”) highlighting the importance of cybersecurity for registered investment...more

Blog: Updated Guide to Privacy and Security of Electronic Information Released by ONC and OCR

The Office of the National Coordinator for Health Information Technology (ONC) in collaboration with the Office for Civil Rights (OCR) recently released its new updated guidance for the privacy and security of electronic...more

EPA Issues Interim Guidance Concerning Antimicrobial Data Requirements

On Thursday, April 30, 2015, the U.S. Environmental Protection Agency (EPA) issued interim guidance that it intends to clarify its toxicology data requirements for antimicrobial pesticides used on food contact surfaces....more

Cybersecurity Guidance for Registered Investment Advisers

On April 28, the Securities and Exchange Commission (SEC) released a Guidance Update addressing the importance of cybersecurity and the steps registered investment advisers (and registered investment companies) may wish to...more

ONC-HIT Releases Updated Guide for Privacy and Security of Electronic Health Information

The Office of the National Coordinator for Health Information Technology (ONC-HIT) released version 2.0 of its Guide to Privacy and Security of Electronic Health Information (the Guide). While the Guide clearly states that it...more

SEC Publishes Cybersecurity Guidance for Registered Investment Companies and Advisers

On April 30, the SEC’s Division of Investment Management issued IM Guidance Update No. 2015-02 which highlights measures that investment companies and advisers may wish to consider in addressing cybersecurity risks....more

Cybersecurity Guidance for Registered Investment Advisers

On April 28, the Securities and Exchange Commission (SEC) released a Guidance Update addressing the importance of cybersecurity and the steps registered investment advisers (and registered investment companies) may wish to...more

Revised Guidance for Privacy and Security of Electronic Health Information Released by Government

The Office of the National Coordinator for Health Information Technology (“ONC”) has released a revised Guide to Privacy and Security of Electronic Health Information (the “Guide”), which is intended to be a resource for...more

Locke Lord QuickStudy: Investment Advisers Should “Beef Up” Cybersecurity Strategies - SEC Issues Updated Guidance

Registered investment advisers should periodically assess their cybersecurity vulnerabilities, create strategies to respond, and make sure they are making the strategies work. ...more

SEC Staff Issues Update Guidance Regarding Cybersecurity

Recently, the Staff of the Division of Investment Management of the Securities and Exchange Commission (the “Staff”) issued updated Guidance that highlights the importance of cybersecurity of registered investment funds and...more

New Guidance from the SEC: Cyber Security Best Practices

On April 28, 2015, the U.S. Securities and Exchange Commission’s Division of Investment Management (the “Division”) issued a Guidance Update to investment and fund advisers on the topic of improving cyber security. While it...more

FCA Publishes New Procedures and Forms for Disclosure of Material Changes by Non-UK Managers Marketing in the United Kingdom

On April 21, the Financial Conduct Authority (FCA) updated its webpage of guidance on the United Kingdom’s national private placement regime (NPPR) for the marketing of non-EU funds in the United Kingdom by non-UK managers...more

ONC Updated Electronic Health Information Privacy/Security Guidance

The Office of the National Coordinator for Health Information Technology (ONC) has released a revised Guide to Privacy and Security of Electronic Health Information. The guide is intended to help health care providers –...more

OCC Revises Guidance and Forms for Subordinated Debt Issued for Tier 2 Capital and Non-Capital Purposes

The Office of the Comptroller of the Currency (OCC) is revising and reorganizing its current guidance for subordinated debt issued by national banks (at appendix A of the “Subordinated Debt” booklet of the Comptroller’s...more

EBA Updates Single Rulebook Q&As: April 10, 2015

On April 10, 2015, the European Banking Authority (EBA) updated its Q&As on the single rulebook, publishing four new questions relating to ...more

Updated Guidance Encourages DHS Attorneys to Timely Exercise Prosecutorial Discretion

On April 6, 2015, the Acting Principal Legal Advisor for the U.S. Immigration and Customs Enforcement (ICE) Office of the Principal Legal Advisor (OPLA), Riah Ramlogan, issued a memorandum to OPLA attorneys relating to the...more

USCIS Issues Draft Guidance on L-1B Specialized Knowledge Visas

The L-1 (“intracompany transferee”) nonimmigrant visa classification permits multinational companies to transfer certain categories of employees from their foreign operations to their operations in the United States....more

BVI issues updated FATCA Guidance Notes

The International Tax Authority (ITA) of the British Virgin Islands has recently announced the issue of Version 2.0 of the Guidance Notes on the International Tax Compliance Requirements of the Intergovernmental Agreements...more

IRS Issues Additional Guidance on Beginning of Construction Rules for Renewable Projects

The Internal Revenue Service (IRS) issued Notice 2015-25 (Notice) on March 11, 2015, to provide further guidance on meeting the beginning of construction requirements for wind and other qualified facilities (biomass,...more

California’s Strict New Health Risk Assessment Guidelines May Increase Regulatory Burden on Industrial Uses and Development...

On March 6, 2015, the California Office of Environmental Health Hazard Assessment (OEHHA) updated its Guidance Manual for Preparation of Health Risk Assessments (HRAs) for the purpose of better characterizing exposure risks...more

CMS Releases New Guidance on Quality Reporting Payment Adjustments for RHCs, FQHCs, and CAHs

On March 6, 2015, CMS released an MLN Matters article (#SE1508), updating guidance on the 2015 payment adjustments for Rural Health Clinics (RHCs), Federally Qualified Health Centers (FQHCs), and Critical Access Hospitals...more

Special Alert Update: OCC Revises Guidance Regarding Consumer Protection Requirements to Overdraft Lines and Protection Services

On March 6, 2015, the OCC issued its revised “Deposit-Related Credit” booklet (“DRC booklet”) of the Comptroller’s Handbook, which replaced the “Deposit-Related Consumer Credit” booklet issued on February 11, 2015 (previously...more

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