News & Analysis as of

Proactive Approach To Cybersecurity: Recent SEC guidance and enforcement actions suggest that reactive firms may be in the SEC’s...

In an environment where even the largest and most powerful corporations have fallen victim to data breaches, it can be challenging to fathom how to protect against the sophisticated and ever-evolving threat of cyber attacks....more

SEC’s Piwowar and Gallagher Dissent, Defer to Courts on ConLaw Challenge

SEC Commissioners Piwowar and Gallagher dissented from a recent Commission Opinion sanctioning an investment adviser’s use of misleading historical data purporting to validate an asset-allocation model. Agreeing there was a...more

SEC Brings First Cybersecurity Enforcement Proceeding in Wake of Risk Alert

Highlights Areas of High Risk and Examination Priorities for Financial Industry Firms - On September 15, the U.S. Securities and Exchange Commission’s (SEC’s) Office of Compliance, Inspections and Examinations (OCIE),...more

Expect Focus – International, Summer 2015

In This Issue: - TTIP’s Impact on U.S. and EU Trade Relations - Proposed Innovation Box Legislation - Justice Department Recovers Nearly $6 Billion From False Claims Act Cases in 2014 - Rules...more

New EU Securitisation Regulation: Moving in the Right Direction

The European Commission published a draft regulation on a European framework for simple, transparent and standardised securitisation on 30 September 2015 (the “Draft Regulation”). The Draft Regulation aims to achieve a better...more

DOJ Assistant Attorney General Stresses Public-Private Cooperation In the Event of a Cyber Breach

On September 30, U.S. Assistant Attorney General John Carlin delivered remarks at the 2015 Cybersecurity Summit hosted jointly by the U.S. Chamber of Commerce and the American Gaming Association. In his remarks, Carlin...more

Cuba Sanctions Relief: Baby Steps Today, But What About Tomorrow?

For more than 50 years, an embargo and related sanctions regime has restricted U.S. businesses and individuals from virtually all economic activity involving Cuba or its nationals. This regime was implemented through a...more

Proposed Changes to Federal Rules of Civil Procedure for ESI

With the widespread use of electronic communication methods, discovery is often the most onerous, time-consuming and costly aspects of litigation. Case law has established that a party has a duty to preserve information when...more

Be Thoughtful In Your Rule 30(b)(6) Deposition Preparation to Avoid The Threat of Sanctions

Failing to adequately prepare a corporate witness for his or her 30(b)(6) deposition can have serious consequences. In fact, courts treat an unprepared 30(b)(6) witness as a witness who simply never bothered to show up for...more

On the application of personal sanctions by Ukrainian banks (Ukrainian)

By a new Resolution of the National Bank of Ukraine (the "NBU") No. 654 dated 1 October 2015 (the "Resolution") a procedure on application of sanctions was introduced....more

On the application of personal sanctions by Ukrainian banks

By a new Resolution of the National Bank of Ukraine (the "NBU") No. 654 dated 1 October 2015 (the "Resolution") a procedure on application of sanctions was introduced....more

CFTC Announces to Issue Award of Approximately $290,000 to Whistleblowers

On September 29, the U.S. Commodity Futures Trading Commission announced that it would issue an award of approximately $290,000 to whistleblowers for providing valuable information about violations of the Commodity Exchange...more

Trading with Cuba: Too soon to mix up the Cuba Libres?

Now that the Obama administration has loosened its restrictions on Cuba, you’re ready to sell your widgets to a Havana factory, right? Not so fast! Although you may be able to do some things in or with Cuba that you couldn’t...more

Update on Significant DOT, FAA and Other Federal Agencies’ Aviation-Related Regulatory Actions - October 2015

This edition of the Cozen O’Connor Aviation Regulatory Update reports on Congress’s six-month extension of FAA’s reauthorization; new U.S. Bilateral Aviation Safety Agreements with the European Union and Canada; the FAA’s...more

ITC Section 337 Update – October 2015

ITC Proposes Extensive Changes To Rules For Adjudicating Section 337 Investigations – On September 24, 2015, the Commission published a Notice of Proposed Rulemaking in the Federal Register announcing proposed changes to its...more

The Meritas Guide To Employment Law On A Business Sale In Europe, Middle East And Africa - April 2015: Bulgaria

1. DO EMPLOYEES AUTOMATICALLY TRANSFER TO THE BUYER WHEN A BUSINESS IS SOLD? Employment relationships are automatically transferred by law in the following cases: a) Merger of undertakings; b) Distribution of the...more

Is Midland Funding Even Aware of the CFPB Consent Order?

A few weeks back I reported how the Consumer Financial Protection Bureau (“CFPB”) had sanctioned both Midland Funding and Portfolio Recovery Associates for their illegal debt collection tactics when it came to junk debt buyer...more

U.S., China Announce Cybersecurity Agreement During Xi Jiping’s Visit

Chinese President Xi Jinping made his first state visit to the United States last week, and his itinerary included meetings with U.S. technology company leaders as well as President Barack Obama. Not surprisingly, his hosts...more

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement Cybersecurity Is At the Top of SEC Examination Concerns In a recent SEC “risk alert” for registered broker-dealers and investment advisers, the SEC’s Office of Compliance Inspections and Examinations (OCIE)...more

Coding Errors Lead To SEC Sanctions for High-Frequency Trading Firm

Mistakes in computer coding by a high frequency trading firm that went undetected for approximately four years were responsible for approximately 12.6 million orders that violated Reg NMS, according to an Order settling an...more

US Implements Additional Measures to Liberalize Cuba Sanctions

On September 21, 2015, the United States further amended existing regulations to implement the changes announced by President Obama on December 17, 2014 liberalizing US sanctions and export controls targeting Cuba. As a...more

Treasury updates sanctions

Treasury has updated the sanctions lists in respect of Ukraine....more

La Loi Macron est entrée en vigueur: beaucoup de bruit pour pas grand-chose?

Cette loi apporte des ajustements mais pas de bouleversements dans plusieurs pans du droit social français. Après des mois de discussions ardues, la Loi pour la croissance, l'activité et l'égalité des chances économiques...more

"OFAC and BIS Further Ease Cuba Restrictions"

On September 21, 2015, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) and the U.S. Department of Commerce’s Bureau of Industry and Security (BIS) amended their respective Cuba regulations to...more

The Meritas Guide To Employment Law On A Business Sale In Europe, Middle East And Africa - April 2015: Belgium

1. DO EMPLOYEES AUTOMATICALLY TRANSFER TO THE BUYER WHEN A BUSINESS IS SOLD? The rights of employees in cases of transfer of (or part of) an undertaking are protected under the Collective Bargaining Agreement n° 32bis...more

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