News & Analysis as of

Guidance Update

CMA Updates its Penalties Guidance for UK and EU Competition Law Infringements

by Latham & Watkins LLP on

On 2 August 2017, the UK Competition and Markets Authority (CMA) launched a consultation on proposals to amend the Office of Fair Trading’s 2012 guidance as to the appropriate amount of a penalty for infringements of the...more

FTC Schools “Smart” Toys with Updated COPPA Compliance Guidance

by Hogan Lovells on

The Federal Trade Commission (“FTC”) released an updated guidance document for complying with the Children’s Online Privacy Protection Act (“COPPA”). The revised guidance, released on June 21, 2017, explicitly identifies...more

CFPB provides additional HMDA reporting guidance

by Ballard Spahr LLP on

The CFPB issued HMDA Loan Scenarios on July 19, 2017 to provide additional guidance to the industry on reporting transactions under the revised HMDA rule, which has a January 1, 2018 effective date for most provisions....more

CFPB updates HMDA guidance

by Ballard Spahr LLP on

The CFPB has updated the Home Mortgage Disclosure Act guidance that is available on its resource webpage for HMDA filers.  Updates were made to the Technology Preview, the Filing Instruction Guides for both data collected in...more

How Can Healthcare Organizations Prepare for the Next Cyberattack?

by Latham & Watkins LLP on

HHS OCR issues checklist, iterative guidance in wake of WannaCry and Petya attacks; Anthem breach settlement provides additional lessons. Key Points: ..Healthcare organizations are particularly vulnerable to ransomware...more

IoT Device Companies: Add COPPA to Your “To Do” Lists

by Patrick Law Group, LLC on

Last week, the Federal Trade Commission (FTC) updated its guidance on the Children’s Online Privacy Protection Act (COPPA). COPPA and the FTC’s related COPPA Rules establish guidelines to protect children under the age of 13...more

ICO publishes revised Subject Access Code of Practice incorporating Court of Appeal guidance – dealing with requests from...

by Ropes & Gray LLP on

In the wake of two key judgments from the Court of Appeal, the Information Commissioner’s Office has updated its Subject Access Code of Practice – Dealing with requests from individuals for personal information. The...more

Changes to UK's PSC regime

by DLA Piper on

New timing requirements for updating and filing PSC information and extension of the regime. On 26 June 2017, changes were made to the PSC regime to ensure full compliance by the UK with the requirements of the EU Fourth...more

To certify or not to certify? FDA has answered the question

by Hogan Lovells on

On June 7, 2017, FDA issued a revised guidance document, Form FDA 3674 – Certifications To Accompany Drug, Biological Product, and Device Applications/Submissions, to clarify when sponsors  should submit Form FDA 3674...more

IAIS Proposes Revisions To Insurance Core Principle 13 On Reinsurance

by Carlton Fields on

The International Association of Insurance Supervisors (“IAIS”) recently released proposed revisions to the existing version of its Insurance Core Principle 13 regarding “Reinsurance and Other Forms of Risk Transfer.” The...more

DOL revises guidance regarding exercise of shareholder rights by ERISA fiduciaries

by Thompson Coburn LLP on

At the end of 2016, the U.S. Department of Labor (DOL) issued Interpretive Bulletin 2016-1 which provides updated guidance regarding fiduciary obligations with respect to corporate stock held by employee benefit plans that...more

Nutter Bank Report, May 2017

Supreme Court Rules That Cities Can Sue Lenders Under the Fair Housing Act - The U.S. Supreme Court has issued a decision that reaffirms the standing of municipalities to sue lenders, including banks, for certain...more

Corporate and Financial Weekly Digest - Volume XII, Issue 14

SEC/CORPORATE - SEC Division of Corporation Finance Provides Update on Conflict Minerals Rule - On April 7, the Securities and Exchange Commission Division of Corporation Finance (the Division) issued a statement...more

Medicare Two-Midnight Rule and Observation Status Updates

by Baker Ober Health Law on

What's new from Medicare in the areas of the Two-Midnight rule and observation services? CMS recently published updates to a Medicare manual reflecting clarifications to its Two-Midnight policy, a Medicare Quality Improvement...more

Separately Managed Accounts – SEC Provides Guidance on “Inadvertent” Custody and Reliance on Standing Letters of Authorization

by Ropes & Gray LLP on

The SEC’s Division of Investment Management recently published a three-page Guidance Update, Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority (the “Guidance”). The purpose of the Guidance is to...more

The IRS Provides Updated Guidance on Hardship Distributions

by Bass, Berry & Sims PLC on

The Internal Revenue Service (IRS) recently issued updated audit guidelines for its agents regarding the substantiation requirements for hardship withdrawals from 401(k) and 403(b) plans. This guidance is welcome news for...more

DOJ and FTC Issue Updates to Antitrust Guidelines for the Licensing of Intellectual Property for the First Time Since 1995

by Miller Canfield on

For the first time, the Department of Justice (“DOJ”) and the Federal Trade Commission (“FTC”) have updated the Antitrust Guidelines for the Licensing of Intellectual Property (“IP Licensing Guidelines”). First issued in...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

SEC Weighs In on Robo-Advisers: Disclosure, Suitability, and Compliance Obligations

by Morgan Lewis on

The SEC’s Guidance recognizes that robo-advisers are fiduciaries, and provides suggestions on how they can meet the substantive requirements of the Investment Advisers Act of 1940. ...more

FERC Issues Updated Guidance Manual for Environmental Report Preparation Under the Natural Gas Act

by Dorsey & Whitney LLP on

Last week, the Federal Energy Regulatory Commission (FERC) issued an update to its Guidance Manual for Environmental Report Preparation for Applications Filed Under the Natural Gas Act. The updated guidance follows a Notice...more

SEC's Division of Investment Management issues guidance for "robo-advisers" – key takeaways

by DLA Piper on

The Staff of the SEC's Division of Investment Management (IM), in conjunction with the Office of Compliance Inspections and Examinations (OCIE), has issued its second Guidance Update of 2017. [1] This Guidance focuses on...more

Facelift for Two Millennials: DOJ and FTC Update Guidelines for IP Licensing and International Enforcement

by WilmerHale on

More than 21 years ago, the US antitrust agencies issued guidance to the business community on two critical topics of antitrust enforcement: (1) the licensing of intellectual property rights and (2) international enforcement...more

A Case of Appendicitis: SEC Staff Guidance on Sales Load Variation Disclosures Sends Funds Scrambling

by Morrison & Foerster LLP on

A Guidance Update published in December 2016 by the SEC’s Division of Investment Management has sent funds scrambling to beef up prospectus disclosures to accommodate changes to fees charged by financial intermediaries before...more

DFS Announces “Updated” Cybersecurity Regulation

Yesterday, the New York Department of Financial Services (DFS) announced an “updated” cybersecurity regulation that will go into effect on March 1, 2017. The updated regulation is, in many respects, less stringent than the...more

SEC Issues Guidance on Fund Changes Intended to Simplify Compliance with the Department of Labor’s “Conflict of Interest” Rule

by Ropes & Gray LLP on

On December 15, 2016, the SEC’s Division of Investment Management issued a Guidance Update titled, Mutual Fund Fee Structures. The Guidance focuses on disclosure issues and procedural requirements arising from (i) funds...more

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Cybersecurity

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