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Regulatory Agencies

Shaking Things Up – The Trump Administration, Regulatory Change, and Administrative Law: Allan Gates (Mitchell Williams) National...

My law firm colleague Allan Gates undertook a webinar presentation for the National Association of Clean Water Agencies (“NACWA”) titled: - Shaking Things Up – The Trump Administration, Regulatory Change, and...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The Systemic Risk Council—a heady group of “former top financial regulators, regulators, policymakers and academics”—is warning that the rollback of Dodd-Frank and other financial regulators could lead to bank failures and...more

Update on a Prior Post: Under Pressure SB 774 Has Been Amended – But the Appointed Toxic Substances Board Concept Remains in the...

by Stoel Rives LLP on

Senate Bill 774 (“SB 774”) was amended in July 2017 to delete a section of the bill that would have allowed the new California Toxic Substances Board (“CTS Board”) to adopt or amend relevant regulations. Under the revised...more

SEC Inspector General Concludes Acting Chairman Piwowar’s Actions Were Lawful

In an investigation conducted at the request of four Senators, the SEC Inspector General concluded “we do not find that Commissioner Piwowar’s actions as Acting Chairman violated any of the laws currently governing the SEC...more

Panel orders sale of shares, even though no contravention of law

by DLA Piper on

The Australian Takeovers Panel has ordered the sale of shares by two connected parties that were seeking to exert control over a target company, even though the parties were not associates and their action did not contravene...more

CFPB creates online form for regulatory questions

by Ballard Spahr LLP on

The CFPB has created a new online form for obtaining informal staff guidance on questions about CFPB regulations.  A link to the new form appears on the CFPB’s website on the “Compliance and guidance” page....more

Securities regulators provide enhanced guidance on material conflict of interest transactions

by Dentons on

On July 27, 2017, staff of securities regulatory authorities in each of Ontario, Québec, Alberta, Manitoba, and New Brunswick (together, Staff) published a notice (Notice) setting out the recent experiences and approach of...more

Environmental Issues that Arise in Retail and Other Commercial Businesses

by Murtha Cullina on

Owners, lessors, lessees, and developers of retail and other commercial properties are often unaware of the scope of environmental laws that apply to their businesses and/or properties. Unfortunately, they often become aware...more

A Difficult Decision for EMA

by Hogan Lovells on

The bids to host the EMA are in! We have reviewed all of them and give you our personal impressions on what to expect. After the EMA has announced the development of a business continuity plan to deal with the workload...more

$2.5 Million SEC Whistleblower Award Goes to Government Employee

by Bryan Cave on

On July 25, 2017, the SEC announced another whistleblower award – this one for almost $2.5 million. What sets this award apart from earlier awards is its recipient – “an employee of a domestic government agency.” The Order...more

Preparing for the space innovations of today and tomorrow

by Hogan Lovells on

Innovative technologies are reshaping almost every industry, presenting new business cases and changing our daily lives. These technologies are hyper-connecting the world and offering new ways to interact. Many of these...more

US Second Circuit Finds Testimony Compelled by UK Regulators to be Inadmissible in Criminal Proceedings

Creating a potential new impediment for collaboration between UK and US investigators, the Court of Appeals for the Second Circuit in New York recently held that evidence derived from compelled testimony cannot be used in a...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The Fed’s Open Markets Committee meets today, and despite relatively robust economic numbers of late, the lack of oped-for inflation (among other things) is likely to keep the Fed from moving on interest rates again at this...more

Show-Me State Gets Ready for Regulation Review and Rewrite

by Dentons on

The Missouri Department of Insurance, Financial Institutions and Professional Registration ("DIFP") has announced a comprehensive review of its rules in accordance with Governor Eric Greitens’ Executive Order 17-03....more

Treasury Identifies Significant Regulations Subject to Modification or Repeal

On July 7, 2017, Treasury identified eight significant regulations, including regulations under sections 385 (treatment of certain debt as equity), 752 (partnership liabilities), 367 (outbound transfers of property) and 987...more

Delaware’s Blockchain Initiative to Revolutionize the Stock Trade

by Goodwin on

With the near unanimous passing of a bill that will explicitly recognize the right to trade stocks using a blockchain, Delaware is making a strong case for it being the blockchain-friendliest state. The Delaware Senate...more

Federal government proposes reform of public sector Access to Information Act

by DLA Piper on

The Government of Canada has proposed amendments to the federal Access to Information Act (ATIA) with the stated goal of improving public access to government records. Access to Information advocates have been calling for an...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Here we were watching Amazon for a Slack pick-up, and all the while it had its eyes set on Whole Foods. Jeff Bezos added the upscale grocery giant to Amazon’s expanding portfolio for $13.7 billion on Friday (perhaps kicking...more

Health Alert (Australia) 5 June 2017

by DLA Piper on

In This Issue: - Judgments; Legislation; and Reports. - Excerpts from Judgments: 26 May 2017 - Mrs Nicole Webb v The Trustee for SWC Unit Trust T/A Salisbury Day Surgery [2017] FWC 2573 - Application for relief from...more

Dealing with conflicts of interest for registrants - disclosure is not enough

by DLA Piper on

On April 27, 2017, the Investment Industry Regulatory Organization of Canada (“IIROC”) issued a rules notice and guidance note (the “Notice”) regarding dealer firm (“Dealers”) management of compensation-related conflicts. The...more

New Funding Framework for DB Pension Plans Announced A Follow up from the 2017 Ontario Budget

by Bennett Jones LLP on

On May 19, 2017, the Ontario Government announced that it is implementing a new funding framework for defined benefit (DB) pension plans in Ontario. Highlights include...more

Professional Regulatory Alert: If It Looks like a Duck: British Columbia Court of Appeal Rules on Title Use

by Field Law on

Professional regulators are often faced with non-members who use titles similar to those used by regulated members of the profession but not explicitly prohibited by the governing statute. In Organization of Chartered...more

The Foreign Corrupt Practices Act and the New Trump Administration: Your Top Ten Questions Answered

by Foley & Lardner LLP on

Since mid-2000s investigation of Siemens, and the resulting $800 million penalty for violations of the Foreign Corrupt Practices Act (FCPA), the FCPA has been an enforcement priority of the U.S. Government. Although a dip in...more

Relocation of the EU Medicines Agency – Ireland Island of Saints and Scholars

by Hogan Lovells on

The EMA is looking for a new home. In this blog post partner Elisabethann Wright argues the case for Ireland. For thousands of years Ireland has been known as the Island of Saints and Scholars. The country is also world...more

Evaluating FCPA Pilot Program: The Data, The Trends

by Ropes & Gray LLP on

April 5 marked the one-year anniversary of the "Foreign Corrupt Practices Act Enforcement Plan and Guidance." Announced by the U.S. Department of Justice, Criminal Division's Fraud Section, the guidance outlined three...more

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