News & Analysis as of

Conflicts of Interest New Guidance

Adams & Reese

[Webinar] 2024 Legal Ethics Year in Review - December 12th, 12:00 pm CT

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Leading ethics attorneys Lucian Pera, Partner with Adams and Reese, and Trish Rich, Partner with Holland & Knight, return for a free, one-hour review of the most important developments of the last year (or so) in legal ethics...more

Guidepost Solutions LLC

Will your Due Diligence Program Meet the New DFS Requirement?

The final guidance, issued by DFS on January 22, 2024, requires “regular and rigorous” vetting of key personnel at banking organizations and non-depository institutions. It is clear, that DFS is focused on enhanced scrutiny...more

Mintz - Health Care Viewpoints

Key Takeaways from the OIG’s New Comprehensive General Compliance Program Guidance

The Department of Health and Human Services’ Office of Inspector General (OIG) published a General Compliance Program Guidance (GCPG) on November 6, 2023, marking the first update to OIG’s compliance program guidance...more

Latham & Watkins LLP

Recent Developments for Directors - October 2023 Edition

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SEC Adopts Final Rules on Cybersecurity Disclosures - The SEC has adopted rules requiring companies to provide disclosure within four business days of determining that a material cybersecurity incident has occurred, and...more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - August 2023

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

Walkers

Fresh guidance on company director disqualification issued by Jersey’s Attorney General

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Attorney General (“AG”) has issued guidance to the industry on the circumstances in which the AG will apply to Jersey’s Royal Court (“the Court”) under article 78 of the Companies (Jersey) Law 1991 (“the Companies law”) to...more

Health Care Compliance Association (HCCA)

[Virtual Event] 2022 Research Conference - October 6th, 8:25 am - 4:30 pm CDT

Stay on top of the latest in research compliance - Do you want to learn: - Current best practices for building and maintaining a  research compliance work plan? - How to better shift your program’s research focus in...more

Goodwin

FDIC Requests Comments to Draft Principles for Climate-Related Financial Risk Management

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In This Issue. The Federal Deposit Insurance Corporation (FDIC) requested comments to draft principles for climate-related financial risk management; the U.S. Securities and Exchange Commission (SEC) published its 2022 exam...more

BCLP

FCA review of sponsors requests: identifying and managing conflicts

BCLP on

The FCA has published Primary Market Bulletin No.37 (PMB) with the findings of its review of conflict queries since the publication of Technical Note 701.3. In general, there have been fewer conflict queries but the review...more

Mintz - Securities & Capital Markets...

How Companies Can Prepare for SEC Proxy Advisor Reform

The SEC’s long-awaited final rules governing voting advice provided by proxy advisory firms such as Institutional Shareholders Service (ISS) and Glass Lewis (the “final rules”) became effective on November 2, 2020. The final...more

Fenwick & West LLP

SEC Tightens Regulations on Proxy Advisory Firms

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The U.S. Securities and Exchange Commission on July 22, 2020, adopted amendments tightening regulation of proxy voting advice from proxy advisory firms (Release No. 34-89372). The final rule implements additional regulations...more

Vedder Price

SEC Issues FAQs on Adviser Conflict Disclosure Practices

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On October 18, 2019, the SEC’s Division of Investment Management issued guidance in the form of Frequently Asked Questions that address certain matters regarding the disclosure of conflicts of interest involving the receipt...more

White & Case LLP

SEC Issues Guidance on Proxy Advisory Firms

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On August 21, 2019, the Securities and Exchange Commission (“SEC”), in response to increasing concerns that proxy advisory firms hold excessive sway over voting results, issued guidance (the “2019 Advisor Guidance”)  that...more

Hogan Lovells

NIH issues long-awaited guidance on other support, foreign components, and financial conflicts of interest

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On 10 July 2019 the National Institutes of Health (NIH) issued its long-awaited guidance addressing grantee disclosure obligations related to researchers' activities outside the United States. ...more

A&O Shearman

New International Guidance Addresses Conflicts of Interest and Conduct Risks in Equity Capital Raisings

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The International Organization of Securities Commissions has published a final report setting out Guidance to its members to address the significant potential conflicts of interest arising from the role of intermediaries...more

Proskauer - Employee Benefits & Executive...

As DOL Fiduciary Rule is Officially Vacated, Focus Shifts to SEC

After nearly a decade in the making, the Department of Labor’s fiduciary rule appears to be officially dead. On June 21st, the U.S. Court of Appeals for the Fifth Circuit issued its mandate that finalized its earlier...more

Bradley Arant Boult Cummings LLP

GAO Clarifies Rules For Conflict Of Interest Waiver Protests

The U.S. Government Accountability Office recently issued a decision in which it clarified the rules regarding bid protests that challenge an agency’s organizational conflict of interest waiver. As discussed below, the GAO’s...more

Vedder Price

Investment Services Regulatory Update - February 2018

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New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

Bennett Jones LLP

Canadian Securities Administrators Provide Guidance on the Review of Material Conflict of Interest Transactions

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Transactions between related parties may create material conflicts of interest between an issuer and its directors, officers and related parties. In particular, material conflicts of interest may arise in the context of...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Department of Labor Issues Guidance on Conflicts of Interest Rule"

The Department of Labor (DOL) recently issued guidance on the Conflicts of Interest Rule it released earlier this year. The guidance, issued on October 27, 2016, is in the form of answers to frequently asked questions, which...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

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Non-Enforcement - Remember to Update Your Risk Disclosure on an Ongoing Basis - The staff of the Securities and Exchange Commission (SEC) issued guidance reminding mutual funds, exchange traded funds, and other...more

Goodwin

SEC Publishes Guidance on Mutual Fund Distribution and Sub-Accounting Fees

Goodwin on

On January 6, 2016, the staff (the “Staff”) of the SEC’s Division of Investment Management published guidance (the “Guidance”) containing the Staff’s views and recommendations relating to mutual fund distribution and...more

Mintz

FTC Answers the Call for Guidance Regarding Antitrust Compliance for State Regulatory Boards Controlled by Market Participants

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In North Carolina State Board of Dental Examiners v. FTC, 135 S. Ct. 1101 (2015), the Supreme Court held that the North Carolina Board of Dental Examiners (“Board”), a state agency, was not exempt from federal antitrust laws...more

Mintz - Health Care Viewpoints

FTC Provides Guidance Regarding Antitrust Compliance for State Regulatory Boards

In North Carolina State Board of Dental Examiners v. FTC, 135 S. Ct. 1101 (2015), the Supreme Court held that the North Carolina Board of Dental Examiners (“Board”), a state agency, was not exempt from federal antitrust laws...more

Davis Wright Tremaine LLP

New York State Attorney General Issues Guidance on the Conflict of Interest and Whistleblower Policy Provisions of the New York...

The New York State Attorney General’s Charities Bureau recently issued written guidance on certain provisions of the New York Non-Profit Revitalization Act of 2013 (the “Act”), including provisions on audit oversight...more

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