Memorandum of Understanding

News & Analysis as of

US Commodity Futures Trading Commission Signs Counterpart to Memorandum of Understanding with Canadian Authority in Newfoundland...

The CFTC announced that Chairman Massad had signed the Counterpart to a Memorandum of Understanding with the Superintendent of Securities for Newfoundland and Labrador and the Canadian Minister for Intergovernmental...more

FCC Announces MOU with Canadian Counterpart to Combat Robocalls, Issues Enforcement Advisory on Automated Texts

Heading into the holiday season, the FCC shows no signs of slowing down in its consumer-focused initiatives, in particular those related to the Telephone Consumer Protection Act (TCPA). Earlier this month, for instance, the...more

CFTC Cross-Border Regulatory Update: New Proposal on Cross-Border Swap Transactions and Other Developments

On October 11, 2016, the Commodity Futures Trading Commission (“CFTC”) unanimously approved a proposed rule on the Cross-Border Application of the Registration Thresholds and External Business Conduct Standards Applicable to...more

Corporate and Financial Weekly Digest - Volume XI, Issue 43

SEC/CORPORATE - SEC Proposes Amendments To Require Universal Proxy Cards in Contested Elections - On October 26, the Securities and Exchange Commission voted to propose amendments to the proxy rules that would...more

Don’t Let Your Guard Down After Reaching an “Agreement in Principle”

It’s human nature to engage in an emotional exhale after reaching an agreement in principle to settle a long-standing or hard-fought dispute. While doing so is all well and good, it is critical that you don’t let that deter...more

US Commodity Futures Trading Commission Signs Memorandum of Understanding with UK Financial Conduct Authority to Improve...

The CFTC announced that CFTC Chairman Timothy Massad and Andrew Bailey, Chief Executive of the FCA, signed a Memorandum of Understanding (MOU) regarding cooperation and the exchange of information in the supervision and...more

Corporate and Financial Weekly Digest - Volume XI, Issue 39

SEC/CORPORATE SEC - Staff No Longer Requires “Tandy” Representations in Filing Reviews - On October 5, the staff (Staff) of the Securities and Exchange Commission announced that, effective immediately, a company...more

Bridging the Week - October 2016

CME Group Settles With Trading Firm for Spoofing-Type Offenses, Holding It Strictly Liable for Acts of Agents; Orders Disgorgement of Profits - CME Group brought and settled disciplinary actions against Geneva Trading...more

India and Singapore Sign Memorandums of Understanding

The MoUs aim to encourage greater business collaboration and exchange between the two countries. On October 4, Singapore signed three memorandums of understanding (MoUs) with India following talks between the two countries as...more

September 2016 Independent Contractor Misclassification and Compliance News Update

The past month’s judicial and administrative activity in the area of IC misclassification reflects the wide range of industries facing these types of claims: communications; cleaning services; transportation and delivery...more

EEOC’S Memphis District Office and Mexican Consulate Renew Collaborative Agreement

Offices Agree to Continue to Work Together to Fight Discrimination - MEMPHIS - The Memphis District Office of the U.S. Equal Employment Opportunity Commission (EEOC) renewed its memorandum of understanding (MOU) today...more

The Financial Report, Volume 5, Number 18

The SEC recently adopted new rules that substantially amend Form ADV under the Investment Advisers Act of 1940, as amended (the Advisers Act). Although not as comprehensive as the Form ADV amendments adopted in 2011, the new...more

Department of Education Releases New Guidance on SROs, Police in Schools

The Department of Education (DOE) and the Department of Justice (DOJ) have issued non-binding regulatory guidance regarding law-enforcement officers’ involvement in the administration of school discipline. The new guidance,...more

Orrick's Financial Industry Week in Review

Financial Industry Developments - Agencies Publish Study on Banking Activities and Investments under Dodd-Frank - On September 8, 2016, the Board of Governors of the Federal Reserve System, Federal Deposit Insurance...more

US DOL and PA DOL Partner to Prevent Employee Misclassification

On August 4, 2016, the U.S. Department of Labor (“U.S. DOL”) and the Pennsylvania Department of Labor and Industry (“PA DOL”) signed a memorandum of understanding (MOU) to coordinate efforts, by sharing information and...more

Highlights from Seminar on Governmental Investigations Involving the Debt Collection Industry

Holland & Knight and the Association of Credit and Collection Professionals (ACA) hosted a half-day seminar that featured government officials discussing trends and current issues in law enforcement investigations and other...more

EEOC Renews Collaborative Agreements With Mexican Consulates in Pacific Northwest

Offices Agree to Work Together to Fight Discrimination - SEATTLE - The U.S. Equal Employment Opportunity Commission (EEOC) entered into a memorandum of understanding (MOU) today with the Consulate of Mexico in Seattle....more

CFTC Signs Memorandum of Understanding with Two Mexican Authorities to Enhance Supervision of Cross-Border Regulated Entities

On September 6, 2016, the U.S. Commodity Futures Trading Commission announced that it “signed a Memorandum of Understanding (MOU) with the Comisión Nacional Bancaria y de Valores (CNBV) and the Banco de México (BDM) regarding...more

N.C. Industrial Commission and U.S. Department of Labor Team Up to Address Worker Misclassification

On August 31, 2016, the North Carolina Industrial Commission, Employee Classification Section (the “Section”) and the Wage and Hour Division of the United States Department of Labor (the “WHD”) entered into a Memorandum of...more

EEOC's Milwaukee Area Office and Mexican Consulate Sign Historic Cooperation Agreement

Offices Agree to Work Together to Fight Discrimination - MILWAUKEE - The Milwaukee Area Office of the U.S. Equal Employment Opportunity Commission (EEOC) entered into a memorandum of understanding (MOU) in Milwaukee this...more

Ninth Circuit Removes FTC From The Beat: Agency Lacks Authority To Police Common Carriers Engaged In Non-Common Carrier Activities

The Federal Communications Commission (“FCC”) asserted broad regulatory authority over the Internet and broadband Internet service providers when it reclassified Internet access service as a “common carrier” service under...more

August 2016 Independent Contractor Misclassification and Compliance News Update

This month’s news update includes three initiatives by the U.S. Department of Labor to combat IC misclassification. The first was the issuance of a new page on the DOL website called “Misclassification Mythbusters.” We...more

This Week In Securities Litigation

In the two weeks spanning the Labor Day weekend, the Commission continued bring cases arising from its inspection program. Two new actions alleging inadequate procedures regarding the disclosure of additional trading away...more

EEOC Richmond Office and Mexican Consulate Sign Historic Cooperation Pact

RICHMOND, Va. -- The Richmond Local Office of the U.S. Equal Employment Opportunity Commission (EEOC) entered into a memorandum of understanding (MOU) with the Washington, D.C. Consulate of Mexico today. The agreement...more

EEOC Baltimore Field Office and Consular Section of the Mexican Embassy Sign Historic Outreach Agreement

Pact Establishes Ongoing Collaborative Relationship to Fight Discrimination - BALTIMORE -- The Baltimore Field Office of the U.S. Equal Employment Opportunity Commission (EEOC) entered into a memorandum of understanding...more

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