Information Reports

News & Analysis as of

JRC Publishes Part Three of Its Review of EC’s Recommendation for a Definition of the Term Nanomaterial

The Joint Research Center (JRC) published on October 19, 2015, a report entitled Towards a review of the EC Recommendation for a definition of the term “nanomaterial”: Part 3: Scientific-technical evaluation of options to...more

Blog: When It Comes To Corporate Social Responsibility, Do Daughters Make A Difference?

The study, by academics at the University of Miami and China Europe International Business School, looked at the corporate social responsibility ratings of S&P 500 companies during the period 1992 to 2012. The authors...more

The Beginning of the End of Arbitration Clauses in Consumer Finance Contracts?

Are contractual arbitration clauses harmful to consumers of financial products and services? The Consumer Financial Protection Bureau (the “CFPB”) appears to think so. On March 10, 2015, the CFPB released its 2015 Arbitration...more

Annual COEs and Information Returns – A New Requirement for Many Tax-Exempt Entities

Beginning January 1, 2016, all organizations that have a statutory exemption from the payment of Alabama sales, use or lodgings taxes--other than certain government entities, public universities and healthcare...more

OECD Publishes 2013 Developments on the Safety of Manufactured Nanomaterials

The Organization for Economic Cooperation and Development (OECD) recently posted a new document in its Series on the Safety of Manufactured Nanomaterials, Developments on the Safety of Manufactured Nanomaterials: 2013. The...more

Wrap-Up of Federal and State Chemical Regulatory Developments, October 2015

On October 15, 2015, Bergeson & Campbell, P.C. (B&C®) and the Woodrow Wilson International Center for Scholars (Wilson Center) issued a report, "The DNA of the U.S. Regulatory System: Are We Getting It Right For Synthetic...more

Study Shows Financial Restatements Are “Handbooks Of Trickery” For Copycat Peer Companies

No, it’s not from The Onion. According to a study reported in, unless the restating company faces regulatory action or shareholder litigation, the company’s competitors may use its financial restatement as a how-to...more

Putting the Final BEPS Reports into Perspective: from Recommendations to Implementation

The Organization of Economic Cooperation and Development (OECD) released its final reports on the G20/OECD Base Erosion and Profit Shifting (BEPS) Project on Monday October 5th, 2015. ...more

Blog: PWC 2015 Board Survey Reveals Increasing Levels Of Shareholder Communications And Proactive Steps To Deter Hedge Fund...

As expected, the level of director communications with institutional shareholders has increased from 2012, up from 62% to 69%. More significant perhaps is the change occurring in the breadth of topics that directors are now...more

ESMA Publishes Final Report and Draft Regulatory and Implementing Technical Standards on MiFID II and MiFIR

On September 28, the European Securities and Markets Authority (ESMA) published a final report (Report) containing draft regulatory and implementing technical standards (Standards) on the revised EU Markets in Financial...more

The Profile of a Whistleblower

The SEC’s ongoing effort to strengthen its whistleblower program and broaden the universe of potential award recipients (see this Doug’s Note) has kept whistleblowing compliance at the forefront of most compliance and legal...more

The UK’s PRA Assesses Climate Change Risks to the Insurance Industry

On September 29, 2015, the Bank of England’s Prudential Regulation Authority (“PRA”) issued a report analyzing the impact of climate change on the UK’s insurance sector. The report was based on survey responses from thirty...more

ESMA Raises Market Risk Indicator for European Securities to Highest Level

On September 14, the European Securities and Markets Authority (ESMA) published its Trends, Risks and Vulnerabilities Report No. 2 for 2015 (the TRV) on the European securities markets. The TRV covers the time period from...more

White House Report Offers Roadmap for Modernizing & Streamlining the U.S. Immigration System

On July 15, 2015, in an action that sought to confront a number of the U.S. legal immigration system’s lingering problems, the White House issued a report entitled “Modernizing & Streamlining Our Legal Immigration System for...more

Financial Services Weekly News - September 2015

Regulatory Developments - California Department of Business Oversight Permits Money Transmitter to Treat Customer Funds in Designated Custodial Account as “Eligible Securities” - The California Department of...more

CPMI and IOSCO Publish Joint Consultative Report on the Global Harmonization of OTC UTI

On August 19, as part of a response to a request from the Financial Stability Board (FSB), the Committee on Payments and Market Infrastructures (CPMI) and the International Organization of Securities Commissions (IOSCO)...more

DOE report finds Solyndra gave "false and misleading" info

The Department of Energy's Office of Inspector General has released a special report finding that failed solar panel maker Solyndra, Inc. provided the Department with inaccurate and misleading information during the...more

District Court Denies Motion to Exclude CEO from Providing Expert Testimony on Infringement

Defendant filed a motion to strike plaintiff's expert report on infringement, asserting that the report failed to comply with Fed.R.Civ.P. 26 because, among other things, the report did not constitute a written report under...more

FINRA’s New Research Rules

The new rules retain many of the current rules’ core requirements, but expand certain obligations and impose requirements on debt research activities for the first time. On August 26, 2015, the Financial Industry...more

ESMA Recommends Changes to EMIR

Under Article 85(1) of the European Market Infrastructure Regulation (648/2012/EU) (EMIR), the European Commission (EC) is required to submit a general report on EMIR to the European Parliament and the European Council on the...more

Cross-border infrastructure and presidential permits

A recent report casts doubt on whether proposed federal legislation would actually accelerate decisions on the siting of cross-border energy infrastructure. Cross-border pipelines and electric transmission lines play an...more

Energy Information Administration Issues Short Term Energy Outlook Report

On August 11, 2015, the U.S. Energy Information Administration (EIA) released the Short Term Energy Outlook (STEO) report. The report outlined expectations for regular gasoline to average a retail price of $2.41 for all of...more

California Energy Commission Report Projects Local Electric Reliability Deficits By 2021, Potentially Triggering The Need For New...

The California Energy Commission (CEC) has released an August 2015 report projecting local reliability shortfalls in the Los Angeles basin planning area as early as 2021. The deficits may require new natural gas power...more

Web Based Surveillance Reports

In a regulatory circular to Trading Permit Holders (TPHs), the Chicago Board Options Exchange (CBOE) announced that as of August 10 it has made the Book Trade Through Surveillance Reports available to TPHs on its Web Based...more

FATCA Update: IRS Issues Guidance Regarding Electronic Transmission of Forms W-8 and Updates Information Reporting Guides

The Internal Revenue Service has issued additional informal guidance regarding implementation of the Foreign Account Tax Compliance Act (FATCA). First, the IRS published a new “Frequently Asked Question” on its website...more

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