Regulatory Standards

News & Analysis as of

2014 SEC Government-Business Forum on Small Business Capital Formation Considers Adding Qualitative Requirements to the Standards...

On Thursday, November 20th, the 2014 SEC Government-Business Forum on Small Business Capital Formation met at the SEC headquarters in Washington, D.C. The forum was attended by SEC Chairwoman Mary Jo White, Commissioner...more

Ten Items to Consider as FINRA’s Consolidated Supervision Rules Take Effect

On December 1, 2014, the Financial Industry Regulatory Authority’s (FINRA) Consolidated Supervision Rules will take effect. The Consolidated Supervision Rules, which were approved by the U.S. Securities and Exchange...more

NAIC 2014 Fall National Meeting and Congressional Hearing on Global Standards in Insurance Regulation

The National Association of Insurance Commissioners (NAIC) met for its Fall National Meeting in Washington, D.C. from November 14th through November 19th. As with prior meetings, competition among state, Federal and...more

NY Financial Regulators Push Institutions to Tighten Cybersecurity

Following a string of publicly disclosed cyberattacks against both retailers and financial institutions, New York's top financial regulator called on the financial sector to be more proactive in its cybersecurity efforts. A...more

Regulatory Risk Update: Sentencing Council proposes new fining regime for Food Safety and Food Hygiene offences

The Sentencing Council has just opened a consultation on proposed draft Guidelines for the sentencing of Food Safety and Food Hygiene offences. The paper sets out in detail its recommendations as regards sentences for these...more

Changing Regulatory Regime Necessitates New Solutions To An Old Problem: 5 Elements Critical To An Anti-Fraud Compliance Program

US government regulators have become more aggressive in their detection and enforcement of fraud against the government. One of the key tools they are using to combat such fraud is the False Claims Act. Most FCA cases are...more

FIO Focus, No.67 - Hearing on the Impact of International Regulatory Standards

On November 18, 2014, the Housing and Insurance Subcommittee of the House Committee on Financial Services held a hearing on “The Impact of International Regulatory Standards on the Competitiveness of U.S. Insurers, Part II.”...more

FDA Posts New Materials on Proposed Laboratory Developed Test (LDT) Regulatory Framework

On Friday, October 31, 2014, FDA posted on its website an audio recording, transcript, and slides from its October 23, 2014 webinar discussing the draft guidance document titled “Framework for Regulatory Oversight of...more

"U.S. Corporate Inversion Update"

Numerous US legislative proposals have reacted to the perceived problems of US corporate inversions in which, generally, a parent USco becomes a Forco’s subsidiary. Not content to wait for enacted legislation, the IRS and the...more

Banking Agencies Announce First Outreach Meeting

On November 5, the OCC, FDIC, and the Fed announced that they will hold an outreach meeting on December 2 to review regulations under the Economic Growth and Regulatory Paperwork Reduction Acts of 1996 (EGRPRA)....more

Meet Your Deadlines: West Virginia AST Act Challenges [Video]

Although the W.Va. Aboveground Storage Tank Act, enacted this spring, is comprehensive in its scope—imposing new requirements for registration, permitting, inspection and certification, notice, spill response planning and...more

Pennsylvania and Ohio regulatory efforts regarding NORM/TERNORM in oil and gas production wastes

The following is a summary of the steps that regulators in Pennsylvania and Ohio have taken to address the presence of radioactive materials in shale gas wastes....more

IP|Trend: It’s Time to Get to Know the Federal Trade Commission [Video]

Like it or not, the Federal Trade Commission (FTC) has injected itself into regulating and monitoring data privacy practices of corporations. Attorneys Seth Northrop and Richard Martinez discuss what this means for companies...more

Making a “Made in the USA” Claim Requires a Reading of Federal and State Law

Given the rise in false advertising claims, manufacturers and retailers that wish to label or advertise their goods as being “Made in the USA” must be aware of federal and state laws that place certain requirements on the...more

Financial Regulatory Developments Focus - November 2014

In this issue: - Bank Prudential Regulation & Regulatory Capital - Bank Structure - Derivatives - Enforcement - Financial Market Infrastructure - Financial Services -...more

Gavel to Gavel: Creative compliance

More and more community banks feel the increasing pressures of growing regulatory compliance requirements. To meet those requirements, many banks are turning to creative solutions, ranging from outsourcing compliance...more

ESMA Publishes Responses to Consultations on MAR

On October 17, the European Securities and Markets Authority (ESMA) published responses that it received to consultations published in July 2014 relating to the Market Abuse Regulation (Regulation 596/2014) (MAR) on...more

New Municipal Advisor Supervision Requirements Adopted

Rule G-44, proposed earlier this year by the Municipal Securities Regulation Board (MSRB) and approved by the Securities and Exchange Commission (SEC) this month, requires that municipal advisors develop internal supervisory...more

The State and Local Regulatory Landscape for Bioengineered Plants

Across the country, numerous state and local governments have enacted or are considering laws affecting the cultivation, use, and labeling of genetically engineered plants (“GMOs”). These laws are best described in three...more

Changes to the UKs Client Asset Source Book (CASS) –Harder, Better, Faster, Stronger

The collapse of Lehmans Brothers and MF Global outlined commercial challenges in respect of client assets and client money, including the role of regulated investment firms, the regulator, administrators and external auditors...more

China Aims to Tighten Supervision Over Clinical Studies

China’s health authority, the National Health and Family Planning Commission (“NHFPC”), recently released the Administrative Measures for the Clinical Study Projects of Medical Institutions (“the Measures”) jointly with China...more

REsource -- Fall 2014

A Guide to Real Estate Crowdfunding Today - The idea of creating large scale syndicates to purchase real estate is a classic concept. Large scale syndication traces its roots directly back to the 1920’s, when...more

Big Data, Big Privacy Issues

Last week, a resolution on big data was adopted under the auspices of the 36th International Conference of Data Protection and Privacy Commissioners (hereafter: “ICDPPC”). After earlier guiding documents released this year...more

Guide To Doing Business in New Zealand: Company Law

COMPANY LAW - Some general matters relating to company law in New Zealand are discussed below. REGULATORY SCHEME - The Companies Act principally regulates companies. The Companies Act, together with major...more

2014 – The times they are a-changin’

While some of us are old enough to remember the heady days of straight forward senior/mezzanine deals (sometimes with a PIK thrown in for good measure), it is clear that in the current market you can no longer predict what...more

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