Transparency

News & Analysis as of

TUEs for Performance-Enhancing Drugs Raise Ethical Issues

Recently, the files of the World Anti-Doping Agency (WADA) were hacked, revealing previously unknown information about Therapeutic Use Exemptions (TUEs), which allow athletes who have medical conditions to use...more

Beyond Bitcoin: Barriers to Use of Distributed Ledger Technology (Part 2)

In Part 1, we provided an introduction to “Blockchain,” the distributed ledger technology behind Bitcoin. In Part 2, we discuss some of the business and legal obstacles standing in the way of widespread acceptance of this...more

Donations and Grants in China: Compliance Controls Beyond T&E

While travel and entertainment expenses have presented significant compliance challenges for life sciences companies operating in China, donations and grants can also pose notable compliance risks. China’s escalated...more

The Fed Revisits CCAR and Proposes CCAR Relief for Large Noncomplex Firms

One of the notable financial regulatory tools that resulted from the post-financial crisis prudential regulations is stress testing. The Board of Governors of the Federal Reserve System (the “Federal Reserve”) has the...more

U.K. now requires supply chain transparency on human trafficking risks

In Part I of our two-part series, we discussed the worldwide issue of modern-day slavery and the California response. In this second part, we discuss the latest response in the United Kingdom. The United Kingdom Modern...more

Marketing your brand with influencers? Make sure the FTC hits the “Like” button

Brand owners and their attorneys are grappling with an important question: how to disclose their connections to luminaries like PewDiePie. If you haven't heard of PewDiePie, don't worry—he's a 26-year old Swedish...more

Social Links: Yelp’s Communications Decency Act claim; Twitter loosens its character limit; building a Snapchat audience

The California Supreme Court agreed to hear Yelp’s case arguing that requiring the company to remove a one-star review of a law firm “creates a gaping hole” in the immunity that shields internet service providers from suits...more

Overview of Recent Changes to ICC Arbitration Proceedings

The International Court of Arbitration (the Court), the arbitral institution of the International Chamber of Commerce (ICC), recently announced a series of changes to ICC arbitration proceedings. The new policies are...more

Common pitfalls to avoid when preparing your PSC Register

As part of the government’s bid to increase transparency of company ownership and control, most companies and LLPs in the UK are now required to maintain a PSC (‘persons with significant control’) Register. Despite a raft of...more

SEC Files Action Against Company and its General Counsel for Loss Contingency Accrual and Disclosure Failures – What to Know

SEC’s Factual Allegations - On September 9, 2016, the Securities and Exchange Commission (“SEC”) filed a complaint against RPM International Inc. (“RPM”) and its General Counsel and Chief Compliance Officer, alleging the...more

Modern slavery statements – ready, steady, publish?

For each financial year ending on or after 31 March 2016, organisations with an annual turnover of at least £36 million are required, under the Modern Slavery Act 2015 (the Act), to publish a modern slavery statement. The Act...more

Recent Governance and Gift-Giving Guidance from the Non-Profit/Public Charities Division

The Non-Profit Organizations/Public Charities Division of the Office of the Attorney General (the “Division”) recently released helpful guidance regarding (i) good governance of charitable organization and (ii) the rules that...more

Financial Services Weekly News - September 2016 #2

Editor's Note - In this edition. The NYDFS proposed a cybersecurity regulation governing New York-chartered banks and insurance companies, the OCC released its bank supervision priorities in its annual supervision...more

New California Law Mandating Disclosure of Certain Fees and Expenses

The California Government Code has been amended to require additional public disclosure about investments by state or local California public pension plans (the “California Plans”). The amendment, which is the most...more

E-Commerce: The European Commission Completes Its Preliminary Report on the E-Commerce Sector Inquiry

In May 2015, the European Commission (the Commission) launched a sector inquiry in the field of e-commerce in the context of its Digital Single Market strategy. Its aim was to obtain an overview of prevailing market trends,...more

Owning a Cup of Trademark Transparency

Seeing this Caribou Coffee skyway billboard was a good reminder to me of how much we hear about the importance of transparency in our relationships, including those with brands we love...more

The Financial Choice Act: Implications for the U.S. Securities Legal Framework

On September 13, 2016, the House Financial Services Committee of the United States House of Representatives (the “FSC”) formally released H.R. 5983, the “Financial CHOICE Act” (the “CHOICE Act”). While the CHOICE Act has...more

What The FCC’s Foreign Ownership Move Means To You

In a notice of proposed rule making that impacts existing US radio broadcasters in only a most ancillary way, the FCC is proposing to streamline and make more transparent its review and coordination of foreign ownership...more

Your daily dose of financial news - The Brief – 9.15.16

The Committee on Capital Markets Regulation—a nonprofit that represents execs from many of the US’s largest banks—will release a paper today arguing that the Fed illegally sidestepped the APA by adopting “central parts of its...more

New Nasdaq Rule Requires Disclosure of Third Party Compensation of Directors and Nominees

Effective August 1, 2016, companies listed on Nasdaq are subject to a new rule requiring annual disclosure of the material terms of agreements or arrangements between directors or director nominees and third parties that...more

CFTC Proposes Amendments to Whistleblower Awards Process and Anti-Retaliation Authority

The amendments would make the CFTC’s whistleblower awards process more uniform with the SEC’s program and would enable the CFTC to bring enforcement actions against employers that retaliate against whistleblowers....more

CFPB Issues Guiding Principles for Loss Mitigation after HAMP

On August 2, 2016, the Consumer Financial Protection Bureau (“CFPB”) published a new guidance document titled CFPB’s Principles for the Future of Loss Mitigation (the “Guidance”), which outlines a recommended framework for...more

Advertising Law - August 2016 #3

ANA, 4As Battle Over Transparency Guidance - Two industry groups are engaging in a public battle over transparency. The dispute began when a joint task force was formed between the American Association of...more

ONC Releases Enhanced Regulatory Requirements to Improve Transparency for Health Information Technology Products

The Office of the National Coordinator for Health Information Technology (“ONC”) has operationalized regulatory requirements to improve transparency in health information technology (“health IT”). The regulations, which were...more

Agencies Provide Information on Self-Assessments for Diversity Policies and Practices

The federal banking agencies (the “Agencies”) have provided information explaining how regulated financial institutions may begin to submit self-assessments of their diversity policies and practices as of year-end 2015. The...more

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