News & Analysis as of

Disclosure Requirements

Maryland Adopts New Sexual Harassment Protections

by Pessin Katz Law, P.A. on

With the Maryland Legislature’s passage of the Disclosing Sexual Harassment in the Workplace Act of 2018, SB1010, Maryland employers will face new restrictions in drafting, renewing, or extending employment agreements....more

Gap of Information is Reason for Revoking a European Patent

by Jones Day on

The Situation: In European patent law, opposition against a patent grant can be based only on particular grounds, with one of the grounds being insufficiency of disclosure, meaning that the invention is not disclosed clearly...more

SEC Proposes Rules Addressing Broker-Dealer and Investment Adviser Standards of Conduct

by Dechert LLP on

On April 18, 2018, the U.S. Securities and Exchange Commission (SEC) voted 4-1 to propose a package of rules and interpretations (Proposals) intended to improve the retail investor experience and to provide greater clarity...more

SEC Staff Issues Risk Alert on the Six Most Frequent Fee and Expense Compliance Issues

by Proskauer Rose LLP on

On April 12, 2018, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a risk alert listing the most common compliance issues concerning fees and expenses charged by SEC-registered investment advisers....more

SEC Proposes Regulation Best Interest for Broker-Dealers

The SEC has proposed two rules and an interpretation to address retail investor confusion about the relationships that they have with investment professionals and the harm that may result from that confusion....more

Uber’s Latest Headache

An expanded settlement by the Federal Trade Commission with ride-sharing giant Uber Technologies should serve as a lesson to other businesses about what happens when a company fails to disclose a data breach during an ongoing...more

Attorney Client Privilege is Not Dead – At Least Not in Pennsylvania

by Tucker Arensberg, P.C. on

Confidential information that you give to your attorney is still protected in Pennsylvania. The duty to keep your information confidential is known as the attorney-client privilege. The duty is called a “privilege” because it...more

OCIE Risk Alert Highlights the Most Frequent Adviser Fees and Expenses Deficiencies

by Dorsey & Whitney LLP on

On April 12, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert identifying the most frequently cited compliance deficiencies relating to fees and expenses charged by SEC...more

NAIC Disclosure Developments

by Carlton Fields on

Annuity Illustration Standard Changes: On March 2, the Annuity Disclosure (A) Working Group of the National Association of Insurance Commissioners agreed to recommend the adoption of a revision to the NAIC’s Annuity...more

2018 Proposed Amendments to the Delaware General Corporation Law on Appraisal Rights and Ratification of Defective Acts

by White and Williams LLP on

The Corporate Council of the Corporation Law Section of the Delaware State Bar Association recently released its proposed amendments to the Delaware General Corporation Law (DGCL) for 2018. Noticeably, the proposed amendments...more

Insurers Keep Providing Corporate Governance Disclosures Without Complaint—Yet

by Carlton Fields on

Following the financial crisis, the NAIC undertook a solvency modernization initiative (SMI) to update insurance regulators on insurance companies’ regulatory frameworks. One part of the SMI, meant to keep regulators informed...more

Highlights from CSA’s Report on Climate Change-Related Disclosure Project

The Canadian Securities Administrators (CSA) recently released Staff Notice 51-354 – Report on Climate change-related Disclosure Project (Report), providing the results of their review of climate change-related disclosure...more

European Commission Proposes Extending Fee Cap to Non-Eurozone Member States

by Shearman & Sterling LLP on

The European Commission has published a proposed Regulation to amend the Regulation on cross-border payments in the EU. The Regulation on cross-border payments provides, among other things, that charges for cross-border euro...more

State Suitability, Fiduciary Duty and Disclosure Initiatives Roundup

by Carlton Fields on

States are stampeding to impose additional duties on those who provide financial advice or make recommendations to consumers. Some of these initiatives result from the states’ belief that action is required to wrangle...more

Investment Services Regulatory Update - April 2018

by Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts - PROPOSED RULES - SEC Proposes Changes to Fund Liquidity Disclosure Requirements - On March 14, 2018, the SEC issued proposed amendments to the disclosure requirements...more

Investment Adviser Fee Table on the Table

by Carlton Fields on

On February 7, the Massachusetts Securities Division asked for public comment on a fee table requirement for Massachusetts-registered investment advisers....more

K&L Gates Triage: Protecting Patient Information in Bankruptcy Cases

by K&L Gates LLP on

In this episode, Margaret Westbrook discusses privacy issues that may affect health care providers when filing proofs of claim in the bankruptcy court. Given the potential for public access of these records, it is important...more

Blog: Fallout from pay-ratio reporting

by Cooley LLP on

As a general matter, SEC rules do not mandate companies to disclose details about the composition or location of their workforces; Reg S-K requires disclosure of only the number of employees, but no information about them....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

The CFPB is About to Enact New Requirements for Mortgage Servicers – Is Your Organization Prepared?

On April 19th, changes made by the Consumer Financial Protection Bureau (CFPB) via the Mortgage Servicing Final Rule to Regulation Z will take effect, and mortgage servicers will be required to make changes to the periodic...more

Liquidity Management Rule – Delays and Revisions

by Proskauer Rose LLP on

On October 13, 2016, the Securities and Exchange Commission (the "SEC") adopted Rule 22e-4 (the "Liquidity Rule") under the Investment Company Act of 1940, as amended, to require each registered open-end management investment...more

New Compulsory Register of Beneficial Owners of Overseas Entities Holding UK Real Estate

by Ropes & Gray LLP on

The government has recently published its response to a call for evidence on the proposed UK register of beneficial ownership for overseas entities (the “OEBO register”) with implications for overseas entities that currently,...more

Getting Ready for ED’s New State Authorization Rule

by Thompson Coburn LLP on

As institutions with online programming are well aware, the U.S. Department of Education’s new “state authorization” rule is set to become effective this coming July 1, 2018. Among other things, the rule will require...more

SEC Proposes Rule Changes to Public Liquidity Risk Management Disclosures

by K&L Gates LLP on

On March 14, 2018, the Securities and Exchange Commission (“SEC”) proposed amendments to public liquidity-related disclosure requirements mandated by Rule 22e-4 under the Investment Company Act (the “Liquidity Rule”). ...more

You’ve Disclosed Your Pay Ratio…Now Time to Check Your State & Local Taxes

by McGuireWoods LLP on

Many of us in the executive compensation field have been busy these past few months preparing proxy statements and corresponding executive compensation disclosures. Now that the crush of proxy season is largely behind us,...more

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