News & Analysis as of

Policy Statement

Prescriber rules for opioids

by Bricker & Eckler LLP on

On March 30, 2017, Ohio Governor John Kasich issued a policy statement imposing new limits on prescribing opiates, which became effective August 31, 2017. ...more

UK Regulator Consults on Mission Approach Documents for Supervision and Enforcement

by Shearman & Sterling LLP on

The U.K. Financial Conduct Authority has published two consultations, seeking feedback on draft documents setting out its regulatory approach to supervision and enforcement. The two documents, once finalized, will form part...more

Regulatory Relief: It’s About Time

by Vedder Price on

In November 2016, with the election results confirmed, the banking industry was awash in hopes for a more lenient regulatory posture. To date, the industry has seen no reform. However, on March 14, 2018, the Senate passed and...more

DOJ Criminal Division Announces FCPA Corporate Enforcement Policy Provides Nonbinding Guidance for All Criminal Cases

On March 1, 2018, John P. Cronan, the acting head of the Department of Justice’s Criminal Division, and Benjamin Singer, Chief of the Fraud Section’s Securities and Financial Fraud Unit, announced at the American Bar...more

FERC Should Reconsider Its Bias in Favor of Incremental Pricing of Pipeline Expansions

At his first Federal Energy Regulatory Commission (FERC) meeting this past December, Chairman Kevin McIntyre announced the agency will be soliciting comments on whether to revise its 1999 Certificate Policy Statement (CPS),...more

Revisions Planned For The FDIC’s Statement Of Policy For Section 19 Of The Federal Deposit Insurance Act

by Seyfarth Shaw LLP on

Seyfarth Synopsis: The FDIC is accepting comments until March 9, 2018 on the proposed revisions to the Statement of Policy for Section 19 of the Federal Deposit Insurance Act; the FDIC is seeking, among other things, to...more

CFPB to look to state AGs for more leadership in enforcement arena

by Ballard Spahr LLP on

In remarks yesterday at the winter meeting of the National Association of Attorneys General in Washington, D.C., Mick Mulvaney indicated that the CFPB will be looking to state attorneys general for “much more collaboration...more

The FTC and Deceptive Advertising: Is there a Biennial Trend?

by Patrick Law Group, LLC on

At the end of December 2015, the Federal Trade Commission (the “FTC”) issued a policy statement to provide guidance and examples of how to avoid deceptive advertising in native ad placements (the “2015 Policy Statement”). ...more

Business-Friendly Times – USDOJ Limits the Use of Agency Guidance Documents in Civil Enforcement

by Seyfarth Shaw LLP on

Seyfarth Synopsis: In another business-friendly move, the U.S. Department of Justice (USDOJ) recently directed its Attorneys to not use its civil enforcement authority for violations based on agency guidance documents....more

FDA Issues 2018 Strategic Policy Roadmap

by Harris Beach PLLC on

The Food and Drug Administration (FDA) issued its 2018 Strategic Policy Roadmap (the Policy Roadmap) in an effort to provide the public with insight into select key priorities of the FDA for 2018. While the document is not...more

A rule by any other name: What is a ‘rule’ subject to disapproval under the Congressional Review Act?

by Thompson Coburn LLP on

In addition to formal regulations, informal federal regulatory guidance has become commonplace in the world of banking law. The terms “guidance,” “bulletin,” “interagency statement,” “advisory letter,” “financial...more

UK Financial Conduct Authority Publishes Near-Final Rules for Implementation of the EU Benchmarks Regulation

by Shearman & Sterling LLP on

The UK Financial Conduct Authority has published a Policy Statement setting out responses to its earlier consultation in June 2017 on proposed Handbook changes to ensure that the Handbook is consistent with the provisions of...more

UK Financial Conduct Authority Publishes Measures to Improve the UK Financial Advice Market

by Shearman & Sterling LLP on

The Financial Conduct Authority has published a Policy Statement setting out new Handbook rules and guidance to implement some of the recommendations arising from the Financial Advice Market Review launched by the FCA jointly...more

Western Governors Determined To Strengthen Relationships Under Trump Administration

by Snell & Wilmer on

The Western Governors’ Association (“WGA”) convened for its 2017 Winter Meeting in Phoenix, Arizona on December 1-2 to discuss western policy and announce its Policy Resolutions for 2018. While discussions focused on...more

Pushing Ethics and Compliance Programs in the New FCPA Corporate Enforcement Policy

by Michael Volkov on

The Justice Department’s aggressive enforcement program, particularly in the FCPA arena, has been the primary impetus to the growth and empowerment of the corporate compliance function. The Justice Department and SEC’s FCPA...more

FCA Publishes Policy Statement Setting Out Changes to the Listing Rules, European Capital Markets Update

by Jones Day on

The United Kingdom's Financial Conduct Authority ("FCA") published a policy statement on 26 October 2017 setting out certain amendments to the Listing Rules ("LRs") and related technical notes ("Policy Statement"). The FCA...more

New FCPA Enforcement Policy Ends the Compliance Defense Debate

by Thomas Fox on

As I continue my exploration of the new Department of Justice (DOJ) policy regarding Foreign Corrupt Practices Act (FCPA) enforcement, the FCPA Corporate Enforcement Policy (Policy), one of the things that struck me was the...more

Regulation Round Up - September 2017

by Proskauer Rose LLP on

1 September - The Prudential Regulation Authority (PRA) updated its April 2017 public disclosure with Template A (Disclosure of Aggregate Statistical Data with regard to Insurance and Reinsurance Undertakings) and Template...more

The Fed's Small BHC Policy Statement—Regulatory Relief for Bank Growth and Acquisitions

by Jones Day on

The Small Bank Holding Company ("BHC") Policy Statement ("Policy Statement") was adopted by the Federal Reserve in 1980 to facilitate transfers of small banking organizations, including BHCs formed to assume individuals' bank...more

White House Releases Policy Statement Calling For Elimination Of Federal Funding For FDA’s Pre-Market Review Costs

by Goodwin on

The White House released a statement of administration policy on July 12 in response to the House of Representatives passing H.R. 2430, a bill that would reauthorize the FDA’s user fee programs, including FDA’s biosimilar...more

MiFID II – Second Policy Statement and Further Consultation

by Latham & Watkins LLP on

The FCA has published its second Policy Statement on MiFID II implementation, plus a further Consultation Paper on residual issues. Key Points: ..The FCA has made significant changes to some proposals, particularly in...more

INTERPOL and security checks from the U.A.E. and other Middle Eastern countries

by Estlund Law, P.A. on

We continue to receive reports, like this one, of individuals who are wanted in the United Arab Emirates or other areas in the Middle East, for bounced security checks. I addressed the basics of this issue in a previous post,...more

How to Go Beyond the Words to Craft Smarter Policies

by NAVEX Global on

A recent Harvard Business Review article details the omissions that make sexual harassment policies ineffective, including language that leaves room for employees to interpret policy according to their own preconceptions....more

Prudential Regulation Authority Publishes Policy Statement on Strengthening Individual Accountability in Banking

by Shearman & Sterling LLP on

The Prudential Regulation Authority has published a Policy Statement on strengthening individual accountability in banking. The Policy Statement provides the PRA's final policy on a number of issues. Among other things, the...more

Financial Conduct Authority Publishes Policy Statement on Remuneration in Capital Requirements Directive IV Firms

by Shearman & Sterling LLP on

The Financial Conduct Authority has published a Policy Statement containing final Handbook text and guidance on the requirements for remuneration policies that apply to firms subject to the Capital Requirements Directive IV....more

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Cybersecurity

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