News & Analysis as of

Supervision

Medicare Proposes Continued Relief for Critical Access and Rural Hospitals Through 2-Year Moratorium on Direct Supervision...

by Dorsey & Whitney LLP on

On July 13, 2017, CMS released a proposed rule as part of its 2018 Outpatient Prospective Payment System proposals that is aimed at helping to reduce some of the burdens rural hospitals experience in recruiting physicians....more

Corporate and Financial Weekly Digest - Volume XII, Issue 27

BROKER-DEALER - Proposed Rule Change Relating To Revisions To the Definition of Non-public Arbitrator - On July 11, the Financial Industry Regulatory Authority filed a proposed rule amendment to change the definition of...more

ESMA issues opinion on supervisory convergence

by Ropes & Gray LLP on

The European Securities and Markets Authority (“ESMA”) released an opinion today on supervisory convergence in the context of the UK withdrawing from the European Union (“EU”). The opinion is addressed to national regulators,...more

Nutter Bank Report, May 2017

Supreme Court Rules That Cities Can Sue Lenders Under the Fair Housing Act - The U.S. Supreme Court has issued a decision that reaffirms the standing of municipalities to sue lenders, including banks, for certain...more

Subrogation Against Parents for Actions of Their Children

by Cozen O'Connor on

Can parents be held responsible for property damage caused by their children? Almost every state in the country has adopted some form of a parental liability statute, which forms the legal basis for holding parents...more

European Banking Authority Proposals for Designation and Supervision of Significant-Plus Branches

by Shearman & Sterling LLP on

The European Banking Authority published for consultation draft Guidelines on supervision of significant branches. The proposed Guidelines set out how the consolidating supervisor, the home supervisor and the host supervisor...more

FINRA Fines Lincoln Financial Sub $650,000 For Cybersecurity Shortcomings

by Bracewell LLP on

A Lincoln Financial Group subsidiary agreed to pay $650,000 to the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it failed to implement sufficient security policies to protect confidential...more

US Office of the Comptroller of the Currency Releases Bank Supervision Operating Plan for Fiscal Year 2017

by Shearman & Sterling LLP on

The US Office of the Comptroller of the Currency released its bank supervision operating plan for fiscal year (FY) 2017. The plan sets forth the foundation for policy initiatives and for supervisory strategies applicable to...more

China’s Draft Foreign Investment Law Still under Review, but “Negative List” System Comes into Effect Nationwide October 1

by Morrison & Foerster LLP on

A February 2015 Morrison & Foerster client alert reported on the issuance of a new draft Foreign Investment Law (“FIL”) that, if promulgated, would institute far-reaching changes to the Chinese government’s oversight of...more

The Financial Report, Volume 5, Number 16 (Global)

by DLA Piper on

Discussion and Analysis One of our lead articles discusses a research report indicating that SEC enforcement activity has slowed in 2016. According to the article, the SEC has brought nearly ten percent fewer...more

Basel Committee on Banking Standards Revises its Securitisation Framework

by Shearman & Sterling LLP on

The Basel Committee on Banking Supervision published an amended Securitisation Framework to include alternative regulatory capital treatment for simple, transparent and comparable (STC) securitisations. The Securitisation...more

CFPB Releases Supervisory Report

In a special edition of its Supervisory Highlights publication, the Consumer Financial Protection Bureau (CFPB) detailed its Supervision findings regarding the mortgage servicing industry's compliance with CFPB regulations....more

US Office of the Comptroller of the Currency Releases Mid-Cycle Status Report

by Shearman & Sterling LLP on

The US Office of the Comptroller of the Currency released a mid-cycle status report on key actions that it has taken to date pursuant to its Committee on Bank Supervision’s annual operating plan for the fiscal year that...more

European Central Bank Announces Assessment of Four Banks in 2016

by Shearman & Sterling LLP on

The Banking Supervision division of the European Central Bank announced that it is currently undertaking comprehensive assessments of four European Banks. The banks being assessed are Abanka d.d. (Slovenia), Akciju sabiedriba...more

European Supervisory Authorities Report on Risks and Vulnerabilities in the EU Financial System

by Shearman & Sterling LLP on

The European Banking Authority, European Securities and Markets Authority and European Insurance and Occupational Pensions Authority (known as the Joint Committee of the European Supervisory Authorities) published a report...more

FTC Staff Provides Antitrust Guidance to State Medical Boards

by Baker Ober Health Law on

Until recently, actions by state medical boards, operating pursuant to a state legislative mandate, were generally thought to be insulated from federal antitrust scrutiny by virtue of the state-action exemption. That changed,...more

European Banking Authority Publishes Annual Assessment of EU Supervisory Colleges

by Shearman & Sterling LLP on

The European Banking Authority published its report on the functioning of supervisory colleges in 2015. The report sets out the EBA's annual assessment of how well the supervisory colleges have met the action plan for 2015....more

ESMA Publishes First Supervisory Convergence Work Programme

On February 11, the European Securities and Markets Authority (ESMA) published its first Supervisory Convergence Work Programme for 2016 (SCWP). The SCWP supplements ESMA’s 2016 Annual Work Programme and sets out the...more

FTC Again Urges Consideration of Competitive Impact on State Regulation of APRNs

The Federal Trade Commission (FTC) submitted written comments last week on the likely competitive impact of a legislative proposal in West Virginia to modify the supervision requirements imposed on Advanced Practice...more

EU-US Agreement on Regulation of Central Counterparties

by Shearman & Sterling LLP on

On 10 February 2016, the European Commission and the CFTC announced a common approach regarding supervision of central counterparties operating in the US and EU, paving the way for cross-border equivalence and recognition...more

FTC Supports Easing Dental Hygienist Restrictions, Increasing Access to Underserved

by Faegre Baker Daniels on

The Federal Trade Commission (FTC or Commission) released a statement on January 29 in support of a Georgia state bill that would further relax supervision requirements for dental hygienists. The proposed bill would expand...more

CFTC and German Regulators Sign Memorandum of Understanding

The Commodity Futures Trading Commission, German regulators Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) and Deutsche Bundesbank (Bundesbank) have entered into a memorandum of understanding (MOU) related to the...more

Corporate and Financial Weekly Digest - Volume XI, Issue 4

SEC/CORPORATE - Crowdfunding Portals Can Now Register With the SEC - As discussed in the November 6, 2015 edition of the Corporate and Financial Weekly Digest, on October 30, 2015, the Securities and Exchange...more

No Federal Antitrust Immunity for Actions by State Regulatory Boards Controlled by Market Participants without Active State...

by Snell & Wilmer on

The United States has a strong tradition of professional self-regulation, particularly in the learned professions. States frequently delegate regulatory authority to state boards largely comprised of professionals actively...more

UK Financial Regulatory Developments - January 2016 #10

by Dentons on

Treasury updates Iran sanctions - Treasury has issued a notice explaining the effects on sanctions against Iran of Implementation Day (I Day) under the Joint Comprehensive Plan of Action (JCPoA). I Day was 16 January, on...more

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Cybersecurity

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