News & Analysis as of

Standards & Procedures

SEC Issues Guidance on Fund Changes Intended to Simplify Compliance with the Department of Labor’s “Conflict of Interest” Rule

by Ropes & Gray LLP on

On December 15, 2016, the SEC’s Division of Investment Management issued a Guidance Update titled, Mutual Fund Fee Structures. The Guidance focuses on disclosure issues and procedural requirements arising from (i) funds...more

KCAB issues revised international arbitration rules

by White & Case LLP on

The 2016 revised International Arbitration Rules (the "2016 Rules") of KCAB introduce changes that are more in line with other major international arbitration rules. The 2016 Rules apply to KCAB arbitration proceedings...more

China FDA Announces Good Clinical Practices for Medical Devices

by Ropes & Gray LLP on

On March 23, 2016, the China Food and Drug Administration (“CFDA”) and the National Health and Family Planning Commission jointly promulgated the final revision to the 2004 Medical Device Clinical Studies Rules (“MDCSR”), the...more

SEC Sanctions Another Entity For Not Following Its Procedures

by Dorsey & Whitney LLP on

A continuing focus of SEC enforcement is compliance by entities with their disclosed procedures. The Commission’s latest action in this regard resulted in the payment of $6 million by a Credit Rating Agency that not only...more

BBA updates Lending Code

by Dentons on

BBA and the UK Cards Association have published a revised version of the Lending Code. This self-regulatory code sets standards of good practice when dealing with consumers, micro-enterprises and small charities in the UK for...more

The NLRB's Assault on Employee Handbooks: Potentially Illegal Workplace Rules and Policies

by Jaburg Wilk on

Most employers and their legal counsel take pride in rules and policies that have become standard fare in the workplace. Employee Handbooks almost always contain, and certainly should contain, conspicuous provisions that...more

OCC Updates Process, Policy on “Matters Requiring Attention”

Why it matters - To encourage communication of problems and expediency of correction, the Office of the Comptroller of the Currency (OCC) updated its policy on “Matters Requiring Attention,” or MRAs, in a newly...more

ASA revises its complaints handling procedures

by DLA Piper on

The Advertising Standards Authority ("ASA") has recently published revised procedures for its handling of complaints regarding broadcast and non-broadcast advertisements in the UK. The changes are intended to increase...more

IRS Announces Offshore Voluntary Disclosure Modifications and Revised Streamlined Procedures

by Snell & Wilmer on

On June 18, 2014, the IRS made significant changes to the procedures pursuant to which U.S. Persons can disclose any failure to timely file a Report of Foreign Bank and Financial Accounts (FBAR), and/or an international...more

OCC’s Interim Volcker Rule Examination Procedures Provide Much-Needed Guidance to Banks Seeking to Comply

by Morrison & Foerster LLP on

On June 12, 2014, the Office of the Comptroller of the Currency (OCC) issued interim procedures for examiners to assess banks’ progress in developing a framework to comply with the requirements of what is commonly known as...more

OCC Issues Volcker Rule Interim Examination Procedures

The OCC has issued interim examination procedures for Volker Rule compliance. The purpose of the interim examination procedures is to help examiners determine whether banks have business activities or investments that are...more

A Close Look At Internal Controls

by Michael Volkov on

Companies with ineffective internal controls face risks of embezzlement and self-dealing by employees, bribery, export control violations and other possible legal violations. The payment of foreign bribes often occurs in...more

Litigating in California State Court, but Not a Local? Plan for the Procedural Distinctions (Part 2) — Unique Discovery Procedures...

by Snell & Wilmer on

This fourth installment of the “Welcome to California Business Litigation” series—Part 2 in a two-part series dedicated to examining procedural distinctions between California state court civil procedures and Federal...more

Eligibility for Reimbursement from the Underground Storage Tank Indemnification Fund Cannot Be Determined on a Per Tank Basis

On June 17, 2013, the Pennsylvania Supreme Court in Young’s Sales and Service v. Underground Storage Tank Indemnification Board, reversed a decision of the Commonwealth Court and held that eligibility for indemnification for...more

Industry, Environmentalists Agree On Voluntary Hydraulic Fracturing Standards

by BakerHostetler on

Yesterday a consortium of energy companies, environmental organizations, and philanthropic foundations announced that they have collaborated to form an organization — the Center for Sustainable Shale Development (CSSD) — that...more

Establishing an Effective Compliance Program: An Overview to Protecting Your Organization

by Holland & Knight LLP on

In This Issue: - Overview - Standards and Procedures - Organizational Leadership and Culture - Reasonable Efforts to Exclude Bad Actors From Managerial Ranks - Training and Education - Monitoring,...more

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