Regulatory Standards

News & Analysis as of

The Future of U.K.-EU Trade: The Bilateral Trade Agreement Model

In the aftermath of Brexit, the United Kingdom is faced with the challenge of negotiating a relationship with the European Union that balances Single Market access with national control over the movement of goods and workers....more

SEC Overlooks Nevada’s Transfer Agent Licensing Laws

Transfer agents provide a number of crucial services, primarily for publicly traded companies. Among other responsibilities, they maintain ownership records, record security transfers, issue and cancel certificates and...more

Is your cybersecurity upgrade FDA reportable?

In today’s marketplace, technology evolves at a rapid rate, and must adapt to changing circumstances, such as threats to cybersecurity. For device companies, some types of modifications to devices post-market - potentially...more

The Energy Regulation and Markets Review

Our fifth year of writing and publishing The Energy Regulation and Markets Review has been marked by significant efforts to reduce greenhouse gases (GHGs), important infrastructure development needs and continued low oil and...more

New code and accompanying guidance: Money purchase benefits

On 28 July the updated version of the Regulator's code of practice on the governance and administration of occupational trust-based schemes providing money purchase benefits came into force. The code sets out the standards of...more

Risk Adjustment Update: CMS and the states react to insurer exits

The close of 2016 will mark the end of the third full year that the Affordable Care Act (ACA) has been fully implemented. Data is available for the first two "reporting years," 2014 and 2015, for which health insurers and...more

Good-Bye to Wyatt Earp and More on 1MDB

Wyatt Earp died this week. Not the original Wyatt Earp who died in 1929 but the Wyatt Earp of my lifetime, who was actor Hugh O’Brian. O’Brien portrayed Earp in the long running television series Wyatt Earp which ran in the...more

Compliance Is Tough, Build Your Network! Roy Snell, CEO of the SCCE, Explains [PODCAST]

Compliance is a team sport, and building a network to share ideas, experience, and concerns is critical. The Society of Corporate Compliance and Ethics (SCCE) has played a big part in my growth as a professional and in my...more

FinCEN Proposal Looks to Extend AML Requirements to Non-Federally Regulated Banks

On April 25, 2016, the Financial Crimes Enforcement Network (FinCEN), a bureau of the U.S. Department of the Treasury, proposed a rule that would require all banks, regardless of whether they are subject to regulation by a...more

FinCEN Proposal Extends AML Requirements to Banks Without a Federal Functional Regulator - Proposed Rule Would Include Trust...

The Financial Crimes Enforcement Network (FinCEN) on Aug. 25, 2016, issued a notice of proposed rulemaking (Proposed Rule) to implement Section 326 of the Uniting and Strengthening America by Providing Appropriate Tools...more

Antitrust regulation of information exchange in the CIS and China

Exchange of information, whether among competitors or in vertical relationships, can involve substantial risks from the perspective of local antitrust regulation. Although it is not expressly prohibited to exchange...more

USPAP to Remain the Sole Standard of Valuation Practice in California for Real Estate Appraisers

Last summer, I wrote about the Appraisal Institute’s controversial effort to promote legislation in California (known as AB 624) that would enable licensed real estate appraisers performing appraisals for...more

China's Medical Device Market: Coping with Evolving Regulatory Challenges

Ask a senior manager of a MedTech company in China what keeps her or him awake at night and “regulatory changes” will invariably be among the first things mentioned. In fact, in McKinsey’s 2016 survey of MedTech CEOs,...more

China's Medical Device Market: Coping with Evolving Regulatory Challenges

Ask a senior manager of a MedTech company in China what keeps her or him awake at night and “regulatory changes” will invariably be among the first things mentioned. In fact, in McKinsey’s 2016 survey of MedTech CEOs,...more

Arizona Corporation Commission Issues New Water Policies

Water is essential to Arizona. Hundreds of thousands of Arizonans are served by privately-owned water companies regulated by the Arizona Corporation Commission (ACC). There are hundreds of these companies. They range widely...more

Bellerman v. Fitchburg Gas & Electric Light Co. – Lack of Injury in Massachusetts Consumer Claims

In 2014, we posted about the Massachusetts Supreme Judicial Court’s decision in Bellermann v. Fitchburg Gas & Electric Light Co. In that case, plaintiffs sought relief under the Massachusetts consumer protection statute,...more

Brexit: Environmental law - what does the future hold?

Three things you need to know - - EU environmental law is commercially significant for many businesses operating in the UK. The EU has been very important in influencing and driving change in most areas of UK...more

Brexit: Potential regulatory and transactional impacts for financial institutions

This paper considers the key potential regulatory and transactional consequences for financial institutions of the UK's referendum vote on 23 June 2016 to leave the EU. The future relationship between the UK and the EU is...more

Federal Court of Appeal: Government Failed to Adequately Consult with First Nations on Northern Gateway

On June 23, 2016, the Federal Court of Appeal delivered the Northern Gateway Project another procedural setback in its decision on Gitxaala Nation v Canada (2016 FCA 187). In a 2-to-1 split decision, the court overturned the...more

Future of U.K. Data Protection Regs Unclear

As new British Prime Minister Theresa May assembles her new Cabinet, including a new Secretary of State for Exiting the European Union following the June 23, 2016 Brexit referendum outcome, the U.K.'s march forward to leave...more

Australian Competition Law - Update for the aviation industry

Competition law is a regulatory risk which airlines operating in Australia need to manage. The legal changes identified in our update present both opportunities and risks. DLA Piper has significant experience in the...more

FINRA to Assess Member Firms’ Culture

Speaking at the Brookings Institution this April, FINRA head Richard Ketchum emphasized the importance of a broker-dealer having a "culture" that favors the firm’s customers when their interests conflict with those of the...more

The Future of UK-EU Trade: An Overview

In the aftermath of Brexit, the United Kingdom is faced with the challenge of negotiating a relationship with the European Union that balances Single Market access with national control over the movement of goods and workers....more

Regulatory decisions

Senior managers regime, certification regime and conduct rules - Crucially, this period has seen the start of implementation of the new regime for individual accountability, although it will take a further year for it to...more

Safety, Health and Environment Matters - Spring/Summer 2016

Following the outcome of a so-called Brexit referendum it is clear that a significant period of uncertainty will follow while this country works out its new trading arrangements with fellow European countries and the rest of...more

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