Prevailing in an Era of Regulatory Enforcement – Balancing Risk and Compliance [Expect Focus – Vol. II, July 2016]


- SEC Sanctions Unregistered EB-5 Investments Broker


- FINRA to Assess Member Firms’ Culture

- SEC Seeks Fund Responses to Distribution-In-Guise Guidance

- Veil Parted on SEC Whistleblower Award

- DOJ’s FCPA Pilot Program Keeps Heat on Individuals

- Pension Income Stream Products Worry FINRA

- SEC Committee Recommends Investor-Specific Mutual Fund Cost Disclosures

- Regulatory Musical Chairs for Money

- Supreme Court Declines to Review Constitutionality of SEC In-House Court


- New York Appellate Court Finds “Electronic Data” Exclusion Applies to Data Breach

- Recent Florida Legislation Will Allow for Creation of Specialty Sinkhole Coverage Lines


- Facebook and HIPAA: Strange Bedfellows

- No More Surprises: Florida Ends Certain Medical Balance Billing

- Two-Midnight Rule Update

- Hospital/Physician Leases Compliance Checklist


- CFPB Sanctions Law Firm and Debt Buyer For Failing to Review Account Documentation

- CFPB Continues Scrutiny of Payday Loans in Recent Report and Proposed Rule

- U.S. Department of Education Outlines Loan Relief Pathway for Certain Students

- FFIEC Issues New Cybersecurity and Data Privacy Guidelines for Mobile Banking

- Supreme Court’s Spokeo Decision Leaves Questions Unresolved

- CFPB Acts Against Lead Aggregator for Unfair and Abusive Practices

- CFPB’s Proposed Rule Banning Use of Pre-Dispute Arbitration Agreements to Block Consumer Class Actions Signals New Wave of Class Actions Against Industry

Please see full Publication below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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