Reporting Requirements

Court Finds Internal Reporting By Whistleblower Entitled To Dodd-Frank Protections

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 5/24/2013

In Murray v. UBS Securities LLC et al (12-CV-5914 S.D.N.Y.) the court found that an employee who reports violations of securities laws to his supervisor, but not the SEC, is entitled to the anti-retaliation protections for...more

Reinsurance Redux - May 2013

by Braden A. Borger, Amy S. Kline, Patrick Nugent, Sean T. O'Neill, Brian Simons, Matthew Smith | Saul Ewing LLP on 5/24/2013

In This Issue: - District of New Jersey Stays Medical Malpractice Suit Pending Arbitration: Finding that a dispute between a medical malpractice insurer and a reinsurance underwriter fell squarely within the...more

SEC Targets Another Fund Board in Recent Enforcement Case

by Catherine Botticelli, Stephanie Capistron, Christopher Harvey, Emily Shea | Dechert LLP on 5/23/2013

The U.S. Securities and Exchange Commission (“SEC”) recently issued an Order Instituting Proceedings (“Order”) against the administrator and compliance services provider, as well as current and former members of the boards of...more

ASX Issues "Code of Best Practice" for Reporting by Life Science Companies

by Andrew Gaffney | K&L Gates LLP on 5/21/2013

The Australian Securities Exchange (ASX), after extensive industry consultation has just issued a revised "Code of Best Practice" for Reporting by Life Science Companies (Code). While adoption of the new Code is not...more

New Energy Reporting Regulations Are on the Horizon for Philadelphia Commercial Building Owners

by Matthew McClure, Richard Slavin | Ballard Spahr LLP on 5/21/2013

Commercial building owners in Philadelphia should be aware that in the coming weeks, the Mayor’s Office of Sustainability will issue proposed regulations to implement the City’s recently enacted energy and water reporting...more

The European Alternative Investment Fund Managers Directive—a non-EU Fund Manager’s Perspective

by Jay G. Baris, Afia Fening, Jeremy C. Jennings-Mares | Morrison & Foerster LLP on 5/20/2013

Introduction - The European Member States must implement the Directive on Alternative Investment Fund Managers (the “AIFMD”), which came into force on July 21, 2011, into their national laws by July 22, 2013. Once the...more

FBAR Filing Due for Foreign Financial Account Holders

by Michael Cho | Berkeley Research Group, LLC on 5/18/2013

The 2012 Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts (FBAR), is due June 30, 2013. An employee or officer who has signature or other authority over, or financial interest in, foreign financial accounts is...more

House Cybersecurity Information-Sharing Bill Provides Immunity Provisions for Reporting Companies

by Nerissa McGinn | Loeb & Loeb LLP on 5/17/2013

The U.S. House of Representatives passed an amended version of the Cyber Intelligence Sharing and Protection Act (CISPA), with a 288-127 vote. The current version of CISPA (H.R. 624) would provide private-sector companies...more

9 External Benchmarks for Helpline Reporting

by NAVEX Global on 5/16/2013

A Brief Explanation of External Benchmarks - Executives and board members rely upon reports and metrics to gauge progress and make decisions that drive business results. The ethics and compliance function is no...more

12 Internal Benchmarks for Helpline Reporting

by NAVEX Global on 5/14/2013

Brief Explanation of Internal Benchmarks - While senior leaders and board members often express concerns about how a company’s data compares to external benchmarks, it is equally important that companies review their...more

Overcoming 4 Challenges of Hotline Reporting

by NAVEX Global on 5/14/2013

Most companies provide employees with a formal system to ask questions about policies or to raise allegations of wrongdoing. Data from these systems can help a company detect problem issues or locations early and can tell a...more

Boston Joins the Building Disclosure Bandwagon: Ordinance Will Require Reporting in 2014

by Seth Jaffe | Foley Hoag LLP - Environmental Law on 5/10/2013

On May 8, the Boston City Council approved an ordinance requiring building owners to report annual energy and water use. The final ordinance is slightly different from the one about which we posted in February. Highlights...more

Changes Afoot for ERISA “Reportable Event” Rules

by Mark Hamilton, Kellie Thomas | White & Case LLP on 5/10/2013

As many as 90% of pension plans and pension plan sponsors may soon have fewer “reportable events” to track and report to the Pension Benefit Guaranty Corporation (the “PBGC”), if certain proposed changes to the PBGC...more

IRS Proposes Regulations Regarding Community Health Needs Assessments for Charitable Hospitals

by Steven Smith, Mark A. Stanley | Ober|Kaler on 5/10/2013

The IRS has released its proposed regulations [PDF] detailing the requirements for conducting and reporting Community Health Needs Assessments (CHNAs) under section 501(r)(3) of the Internal Revenue Code, which were...more

First Deadline Approaching for NYSE and Nasdaq Listed Companies to Comply with New Compensation Committee Rules

by Paul Bork, Dean Hanley | Foley Hoag LLP on 5/9/2013

As noted in our Securities Alert dated October 9, 2012, the New York Stock Exchange (NYSE) and the Nasdaq Stock Market (Nasdaq) proposed rule changes to their respective listing standards affecting public company boards of...more

Automotive Legal News - May 2013 • 2nd Quarter

by John Anderson, Sr., James M. Burns, M. Kimberly Stagg, Richard Wilhelm | Dickinson Wright on 5/9/2013

IN THE ISSUE: - The Legal Challenge to the SEC’s Conflict Minerals Reporting Regulations: In the 2010 Dodd-Frank Act, the United States Congress required, inter alia, the SEC to promulgate regulations requiring...more

Myanmar - New round of auctions for offshore oil and gas blocks: Baker & McKenzie

by John Mollard, David Ryan, Melinda Tun | Baker & McKenzie Australia on 5/9/2013

Introduction - The Myanmar Ministry of Energy (Ministry) has commenced an auction for 30 oil and gas blocks in the Myanmar offshore areas. The auction invites bids for 11 shallow water blocks and 19 deep water blocks,...more

Directors Remuneration: Enterprise and Regulatory Reform Act 2013 Published

by Orrick - Structured Finance Group on 5/9/2013

On May 2, the Enterprise and Regulatory Reform Act 2013 (ERRA) was published. The ERRA amends the Companies Act 2006 and introduces the following key changes to the legal framework for directors’ remuneration in quoted...more

CPSC Imposes Comprehensive Compliance Programs in Two Settlements, Warns this is the Wave of the Consumer Products Future

by Ellen Adler, Linda Lane | Morrison & Foerster LLP on 5/9/2013

It is no news that Section 15(b) of the Consumer Product Safety Act (the Act) requires immediate reporting to the Consumer Product Safety Commission (CPSC) of any information which could support the conclusion that a product...more

OVDI Pre-Clearance Letters And Their Revocability

by Charles (Chuck) Rubin on 5/8/2013

The first step a taxpayer with undisclosed or unreported offshore accounts or assets undertakes in seeking to enter the Offshore Voluntary Disclosure Initiative (OVDI) is to apply for pre-clearance from the IRS Criminal...more

CMS Proposes Increased Rewards for Reporting Fraud and Abuse

by Ameena Ashfaq, B. Scott McBride | BakerHostetler on 5/7/2013

The Centers for Medicare and Medicaid Services (CMS) recently published a proposed rule modifying certain provisions in their Incentive Reward Program (IRP) to sweeten the incentives for reporting sanctionable conduct....more

Alabama Legislative Update – Week 12: Gun Bills, Budgets and Medicaid

by Denise Killebrew, Dennis Nabors | Baker, Donelson, Bearman, Caldwell &... on 5/7/2013

Last week, legislators turned their attention to the weightiest and most controversial issues, including debate and passage of several gun bills. Now, with only three legislative days remaining, both budgets will take...more

SEC Settles with Service Providers and Trustees of two Mutual Fund Trusts for Inaccurate Disclosures Regarding Section 15(c)...

by Ropes & Gray LLP on 5/7/2013

On May 2, 2013, the SEC filed an order instituting settled administrative proceedings against the trustees (“Trustees”) and certain service providers of two “turnkey” open-end series investment companies, Northern Lights Fund...more

Legal Alert: FATCA NFFE Rules Subject Non-U.S. P&C Insurers and Reinsurers to Burdensome Reporting Requirements

by Dennis Allen, Thomas A. Gick, Saren Goldner, Jeffrey Mace, Michael Miles, William Pauls, M. Kristan Rizzolo, Christopher Schoen, Linda Sciuto, W. Mark Smith, Carol Tello, more +William Walderman, P. Bruce Wright | Sutherland Asbill & Brennan LLP on 5/6/2013

The good news is that, under the recently released Foreign Account Tax Compliance Act (FATCA) regulations, most non-U.S. property and casualty (P&C) insurance and reinsurance companies will not be considered foreign financial...more

Legislative Alert: Illinois House of Representatives Passes HB 924

by Barbara Adams, Stewart Weiss | Holland & Knight LLP on 5/3/2013

On April 18, 2013, the Illinois House of Representatives passed House Bill 924 on a 60–50 vote. The bill amends the Illinois Prevailing Wage Act (820 ILCS 130/2) to require that all contractors and subcontractors bidding on...more

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