News & Analysis as of

Annual Reports

Recent TPA Regulatory Developments

by Polsinelli on

NEVADA: The Nevada Division of Insurance is in the process of adopting proposed insurance regulation R087-17 (the “Regulation”) which is entitled “Third Party Administrator Parental Guaranty and Notification Requirements.”...more

Graff Calls For DOL E-Delivery Change and I Love It

by Ary Rosenbaum on

I used to love paper until I had a 5-foot flood in the downstairs of my home during Hurricane Sandy. When you have a file cabinet with files sitting outside your house with files that you hope dry over 6 months, you learn to...more

Financial Regulatory Developments Focus - April 2018 #2

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

CFPB Issues Semi-Annual Report

by Weiner Brodsky Kider PC on

In his first semi-annual report, acting director Mick Mulvaney stated that the CFPB is “…far too powerful…” and has recommended that Congress make changes that would (1) require legislative approval of major CFPB rules, (2)...more

CFPB issues annual complaint report

by Ballard Spahr LLP on

The CFPB has issued its Consumer Response Annual Report that provides an analysis of the approximately 320,200 complaints received by the CFPB between January 1 and December 31, 2017.  (In 2016, the CFPB received...more

CFPB, FTC, and NY Attorney General Tout Their Debt Collection Actions

by Weiner Brodsky Kider PC on

The CFPB has released its 2018 Annual Report regarding the CFPB’s and FTC’s actions taken in 2018 to combat illegal debt collection practices. The CFPB and FTC in conjunction with other agencies, share enforcement authority...more

The IRS Criminal Investigation Division Releases Its Annual Report for 2017

by Moskowitz LLP on

The purpose of the IRS Criminal Investigation (IRS CI) Division is to investigate criminal violations of the Internal Revenue Code and other related financial crimes to ensure compliance with the law and public confidence in...more

CFPB issues seventh annual FDCPA report

by Ballard Spahr LLP on

The CFPB has issued its seventh annual Fair Debt Collection Practices Act report covering the CFPB’s and FTC’s activities in 2017. The CFPB’s previous FDCPA annual reports began with a message from former Director Cordray....more

ERISA Audit Season: Is It Raining on Your Parade?

by Burns & Levinson LLP on

An employer is required to file an annual audit report of its retirement plan with the federal government if the plan has over 100 participants. Form 5500 submissions that omit a required audit report in any year invite...more

FTC releases annual report on consumer complaints

by Ballard Spahr LLP on

According to its newly-released Consumer Sentinel Network Data Book, the FTC received complaints from 2.68 million consumers in 2017, a decrease from 2016 when 2.98 million consumers submitted complaints....more

2017 SRR Annual Report Available

by Ballard Spahr LLP on

The State Regulatory Registry (SRR) has published its annual report, "Transforming Supervision by Engaging People and Investing in Technology." ...more

FTC Releases Annual Report on Privacy and Data Security

by Weiner Brodsky Kider PC on

The Federal Trade Commission (FTC) recently released its annual report on privacy and data security.  The report covers the FTC’s efforts from January 2017 to December 2017, and describes the enforcement actions,...more

SEC Enforcement in Financial Reporting and Disclosure—2017 Year-End Update

by Jones Day on

2017 will most likely be remembered as a year of transition, as the Securities and Exchange Commission’s enforcement actions indicate, at least in the near term, an emphasis on specific initiatives and retail investor...more

Expect Changes To New York Sexual Harassment Laws In 2018

by Fisher Phillips on

Following national attention on the #metoo movement, New York Governor Andrew Cuomo announced plans as part of his State of the State address earlier this month to strengthen New York’s laws on sexual harassment in the...more

Reminders for Foreign Private Issuers for the 2018 Annual Reporting Season

by White & Case LLP on

This memorandum outlines certain considerations for foreign private issuers ("FPIs") in preparation for the 2018 annual reporting season. Part I of this memorandum discusses new developments and practical action items for the...more

The State of Local Government in New York, 2017

by Harris Beach PLLC on

The Office of the State Comptroller has issued its annual report on local governments from 2016. The report shows...more

CFPB Announces Annual Adjustments to HMDA Asset-Size Exemption Thresholds and Launch of New HMDA Online Tools

by Weiner Brodsky Kider PC on

The CFPB has recently issued several announcements impacting financial institutions that submit data under the Home Mortgage Disclosure Act (HMDA). First, the CFPB has increased the asset-size exemption threshold under HMDA...more

Federal Trade Commission Issues Privacy and Data Security Report for 2017

by WilmerHale on

On January 18th, the Federal Trade Commission (“FTC”) released its Annual Privacy and Data Security Update, recapping its enforcement actions, workshops, and other privacy and data security activities in 2017. Enforcement...more

Reminders for US Public Companies for the 2018 Annual Reporting and Proxy Season

by White & Case LLP on

This memorandum outlines certain considerations for US public companies in preparation for the 2018 annual reporting and proxy season. Part I of this memorandum discusses new developments and practical action items for the...more

Small & Mid-Cap Public Company Update: 2018 Annual Report and Proxy Season Highlights

by Williams Mullen on

With 2017 being another active year for regulators and governance activists, Small & Mid-Cap Public Companies should be aware of the following changes and trends for the upcoming reporting season....more

Financial Regulatory Developments Focus - January 2018

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

US Financial Stability Oversight Council Releases its 2017 Annual Report

by Shearman & Sterling LLP on

The US Financial Stability Oversight Council published its 2017 annual report. The report addresses topics such as financial and regulatory developments and potential emerging threats and vulnerabilities, and makes a number...more

Bill Would Restrain Online Disclosures By The Secretary Of State

by Allen Matkins on

California's legislature reconvened last week for the second year of its biennium. Assemblyman Marc Steinorth began the session by introducing a bill requiring the Secretary of State to exclude certain personal information...more

CFPB releases report on college credit card agreements

by Ballard Spahr LLP on

The CFPB released its sixth annual report to Congress on college credit card agreements.  The annual report is mandated by the CARD Act. ...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

This is the first of two articles reviewing events that took place during the holidays. Specifically, this article reviews key events concerning securities enforcement litigation from December 23, 2017 through the last...more

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