Transparency

News & Analysis as of

FCPA Compliance and Ethics Report-Episode 136, Joel Borgquist, President of Etik [Video]

In this episode, I visit with Joel Borgquist, President of Etik a company that works to insure transparency in corporate social responsibility programs and assists in conflict resolution. ...more

Proposed Law Aims to Remove Shroud of Secrecy in Court Settlements

A cadre of corporations whose profit margins outweigh product safety have found a loophole in the litigation process: sealed settlement agreements. Such agreements are legal, as there is no law prohibiting them, and often...more

Net Neutrality/Open Internet Order

At its open meeting today, Feb. 26, the Federal Communications Commission (FCC) voted 3-2 along party lines to adopt an order on net neutrality, or open Internet. The text of the order is not yet released but, based upon...more

ESMA Publishes Additional Consultation Paper on MiFID II/MiFIR Implementation

On February 18, the European Securities and Markets Authority (ESMA) published a new consultation paper (CP) on the implementation of the transparency provisions of the revised EU Market in Financial Instruments Directive...more

FMLC Publishes Letter to European Commission on Reporting and Transparency of Securities Financing Transactions

On February 10, the UK Financial Markets Law Committee (FMLC) published a letter to the Director-General for Financial Stability, Financial Services and Capital Markets Union of the European Commission. The letter discusses...more

CFPB Takes Aim at Relationships between Universities and Credit and Debit Card Issuers

Financial institutions marketing credit and debit cards to college and university students should prepare for likely investigations and enforcement actions by the Consumer Financial Protection Bureau and other regulatory...more

Frequently Asked Questions on the U.S. Government’s National Action Plan on Responsible Business Conduct

On February 12, the U.S. Department of State released a set of “Frequently Asked Questions” (“FAQs”) with regard to the U.S. Government’s efforts to develop a National Action Plan on Responsible Business Conduct. The plan is...more

Florida Appellate Court: Open Meetings Law Applies to Collective Bargaining

In a crucial victory for transparency, a Florida state appeals court ruled that the state's open meetings law will not "condone hiding behind federal mediation" when municipal governments try "to thwart the requirements of...more

Local Agencies Face Suits Alleging Brown Act Violations for Failing to Release Closed Session Vote Details

Closed Session Decision and Vote Details Must be Publicly Reported Within 24 Hours - Pasadena City College is facing criticism — and a lawsuit — for its preceived lack of transparency regarding its Board of Trustees’...more

Preserving Pedigree: The Fifth Circuit Reverses Lower Court's Finding of Antitrust Conspiracy Involving Quarter Horse Association...

In a closely watched case out of a Texas federal court, the Fifth Circuit recently reversed the district court and found that the evidence was insufficient to show that the American Quarter Horse Association (AQHA) unlawfully...more

When can an organization conspire with itself?

The U.S. Court of Appeals for the Fifth Circuit last week reversed a jury verdict and rendered judgment for American Quarter Horse Association (AQHA) in a much-contested antitrust case about AQHA’s ban of cloned horses. The...more

NGOs Comment on EC's Working Conclusions Concerning Transparency Measures for Nanomaterials on the Market

The European Environmental Bureau (EEB) posted on January 13, 2015, a paper entitled “NGO comments on Transparency measures for nanomaterials on the market: Working conclusions.” EEB, the Center for International...more

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

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