Transparency

News & Analysis as of

BCBSNC Release of Data

After objecting to the release of hospital reimbursement rates mandated under North Carolina’s Health Care Cost Reduction and Transparency Act of 2013 (NCGS Section 131E-214.5), Blue Cross Blue Shield of North Carolina...more

SEC Examination Priorities in 2015 to Focus on Transparency Issues and the Early Detection of Potential Fraudulent or Other...

On January 13, 2015, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its 2015 examination priorities for investment advisers, broker-dealers and transfer agents. These priorities emphasize the...more

MacEwen: Law Firm M&A Demands 'Cultural Due Diligence'  [Video]

Jan. 14, 2015 (Mimesis Law) -- Bruce MacEwen, president at Adam Smith, Esq., talks with Lee Pacchia about the concept of 'cultural due diligence' in law firm mergers and acquisitions. According to Bruce, clients don't care...more

Broker-Dealer Fee Disclosure Under Microscope

In September, state securities regulators formed a working group aiming to make broker-dealers’ disclosures about their fees more clear, accessible, and useful to investors in comparing different firms’ charges. The group...more

9 Health Care Legal Issues to Follow in 2015

Cost sharing, consumerism, price transparency, patient engagement, value-based purchasing, affiliations, consolidation, access, community partnerships, narrow networks, cost containment, post-acute care, talent...more

U.S. Department of the Interior Launches Online Data Portal Giving Access To Revenue Data

Last Thursday, December 11, 2014, the Department of the Interior (“DOI”) became the latest governmental agency to open the doors to some of its data via a new online portal located at https://useiti.doi.gov/....more

Compliance Training for Employees: Trends in GRC [Video]

In this video, OCEG Chair Scott Mitchell asks The Network’s VP of Product Management and Corporate Development, Jimmy Lin, to discuss how training is impacting the perception of GRC. As Scott points out, policy, compliance...more

Financial Services Weekly News Roundup - December 2014 #2

Editor’s Note - Spotlight on FINRA Retrospective Rule Review: On December 9, FINRA announced it had issued reports on its retrospective review of two groups of rules – a report on the rules on communications with the...more

FDA Regulatory and Compliance Monthly Recap – November 2014

In an unusual move, the FDA takes issue with the accuracy of Sciecure’s studies in a warning letter over sales promotion material for the company’s sleeping pill - In addition to criticizing the pharmaceutical company...more

SEC Focus on Disclosure Issues for Municipal Securities, Private Equity and ETFs

At the recent Columbia Law School Conference, “Hot Topics: Leading Current Issues in Securities Regulation and Enforcement,” SEC Commissioner Kara M. Stein’s keynote address focused on a number of transparency and disclosure...more

Sherlock Holmes and Innovation in the Compliance Function, Part I – A Study In Scarlet

Today begins a week of double themed blog-posts. First I am back with an homage to Sherlock Holmes, for it was in the magazine Beeton’s Christmas Annual that the characters Sherlock Holmes and Watson were introduced to the...more

FIO Focus, No. 68: GAO Issues Report Critical of Procedures of FSOC

The General Accountability Office (GAO) recently issued a report to the Senate Committee on Banking, Housing and Urban Affairs entitled “Financial Stability Oversight Council: Further Actions Could Improve the Nonbank...more

Circuit Court of Springfield Overturns PAC Opinion on OMA Violation

An Illinois Circuit Court recently overturned a Public Access Counselor opinion. The Court held, contrary to the PAC, that the Board of Education of Springfield School District No. 186 did not violate Section 2(e) of the Open...more

Behind the curtain – update on new transparency rules for UK companies

The Small Business, Enterprise and Employment Bill has completed its third reading in the House of Commons. It will now proceed to debate in the House of Lords. What’s changing? For companies and business...more

IOSCO Publishes Report on Post-Trade Transparency in the Credit Default Swaps Market

On November 17, the International Organization of Securities Commissions (IOSCO) published a report (CR08/2014) on post-trade transparency in the credit default swaps market. The report analyzes the potential impact of...more

OFCCP Looks to Eradicate Pay Discrimination with Proposed Pay Transparency Rule

On September 15, 2014, the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) released a Notice of Proposed Rulemaking in connection with the mandates set forth in Executive Order 13665 (EO...more

Coming Soon: The Rhode Island Quasi-Public Corporations Accountability and Transparency Act

Lawyers, accountants and others involved with the more than 20 quasi-state entities here in Rhode Island should be aware that the State Department of Administration Bureau of Audits has begun preparing for the January 1, 2015...more

SEC: Non-Transparent ETFs Not Ready for Prime Time

The SEC has given a preliminary thumbs-down to non-transparent exchange traded funds (ETFs). In two separate notices issued on October 21, 2014, the Commission stated that applications to allow actively managed ETFs to...more

Orwell’s 1984 30 Year Later

Welcome to 1984 30 years later! One of the most famous quotes from George Orwell’s 1984 is “Big Brother is Watching You.”. This quote is more true now than at any time in past. At the just concluded Global Forum on Tax...more

Australian Anti-Corruption Proposal to Mandate Disclosure of Offshore Mining and Resources Payments to Governments

Australia has taken a significant step in supporting a global movement for accountability and transparency in the mining and extractives industries. On 28 October 2014, Greens leader Christine Milne introduced the...more

The Transparency Initiative: Are You Ready?

The UK is set to become the first EU member state to transpose the most recent EU directives on accounting and transparency rules in an effort to satisfy growing demands for a European-wide strategy to fight corruption in...more

Financial Services Weekly News Roundup - October 2014 #5

In this issue: - In preliminarily denying two exemption requests, the SEC takes a stand for market transparency in ETFs and upholds the arbitrage mechanism that allows market prices to closely track NAVs. -...more

New Canadian Resource Revenue Transparency Rules Released

On October 23, 2014, the Government of Canada introduced its Extractive Sector Transparency Measures Act (the Bill), which will impose mandatory reporting requirements for each entity engaged in the "commercial development of...more

FINRA Remarks at the National Society of Compliance Professionals Conference

On October 20, Carlo di Florio, chief risk officer and head of strategy of the Financial Industry Regulatory Authority, gave a speech at the National Society of Compliance Professionals regarding risk and regulatory issues in...more

Eye on Privacy Newsletter - October 2014

In this issue: - FTC Recommends Improved Transparency and Security in Mobile Shopping Apps - Appellate Courts to Address What Constitutes an "Automatic Telephone Dialing System" Under the TCPA -...more

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