News & Analysis as of

Regulatory Oversight

Foley’s 2017 Connected Cars & Autonomous Vehicles Survey - Part 2

by Foley & Lardner LLP on

This is part two of the review of our survey released in October 2017. The survey feedback suggests that many automotive and technology companies are already forging ahead despite the challenges. While most industry...more

2018 Antitrust Outlook – Another Year Of Uncertainty

by Foley & Lardner LLP on

The antitrust outlook in the United States in 2018 continues to present uncertainty. Below, we look to identify some sources of that uncertainty and offer some predictions for industries, including the auto industry, for the...more

SEC Announces 2018 National Examination Priorities

by Pepper Hamilton LLP on

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) recently announced its 2018 national examination priorities, which are broken down into five categories...more

FINRA Enforcement Head Explains Why Enforcement “Isn’t Rocket Science”

In a speech at the SIFMA AML Conference last week, FINRA Head of Enforcement Susan Schroeder openly explained the “straightforward framework” that Enforcement uses when making decisions about enforcement actions. ...more

Update on the responsibility to respect human rights and parent company liability: what the Court of Appeal’s judgment in Okpabi...

by Hogan Lovells on

In the last four months, the Court of Appeal has handed down judgment in two important cases relating to parent company liability and jurisdiction over extra-territorial human rights impacts. ...more

New York Attorney General Expresses Support for Student Loan Servicing Legislation

by Ballard Spahr LLP on

Earlier this week New York Attorney General Eric Schneiderman sent a letter to select state legislators adding his backing to the creation of a licensing regime in New York for student loan servicing, similar to what has been...more

Cryptocurrency Roundup - Market Rebounds After SEC Chair Expresses Cautious Optimism But ETFs Are Still Off The Table...For Now

by Burr & Forman on

The cryptocurrency market took a nosedive earlier this month after the stock market tanked and the Peoples Bank of China issued a statement that it would block access to all domestic and foreign cryptocurrency exchanges. ...more

Preferential principles of taxation concerning authors (including employee - authors) following the amendment to the regulations

by Hogan Lovells on

On 1 January 2018, provisions of the Personal Income Tax Act were amended in respect of, among other things, the settlement of revenue generating costs by so-called “authors” (Art. 22 Sec. 9 Sec. 9a, and the new Sec. 9b of...more

CFPB seeks comment on its supervision program

by Ballard Spahr LLP on

The CFPB has issued a request for information that seeks comment on its supervision program. Comments on the RFI will be due no later than 90 days after it is published in the Federal Register, which the CFPB expects to...more

2017: The Year of Much Ado…But Nothing!

by LeClairRyan on

In terms of major UAS rulemaking efforts, 2017 could best be described as “the year that wasn’t”. While the FAA had big plans to push forward the new rules for flight over people and finalize the Interpretation of the...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Nordstrom’s doing what it can to fight the seemingly inevitable decline of many retailers in the face of online competition. The family-run company has been revamping stores, amassing e-commerce companies, and launching new...more

CLO Managers No Longer Need to Abide by Dodd-Frank Risk Retention Requirements

by Pepper Hamilton LLP on

In a case of first impression, the D.C. Circuit Court struck down the Dodd-Frank-mandated risk retention requirements for managers of open market collateralized loan obligations (CLOs). ...more

"Make in India" Initiative Extends to Medical Devices - India's New Medical Device Rules Are Now in Effect

by Hogan Lovells on

In January 2017, India's Ministry of Health and Family Welfare released the long-awaited Medical Device Rules of 2017 (MDR 2017 or the Act), which took effect on January 1, 2018. Upon implementation, this regulation replaced...more

Nationwide, State Legislators Push Blockchain-friendly Legislation

As previously reported, state legislatures throughout the country continue to propose legislation designed to facilitate the use of blockchain-based technology by businesses within their states....more

Wyoming Enacts Legislation And Adopts New Regulations Governing Credit For Reinsurance And Term And Universal Life Insurance...

by Carlton Fields on

New regulations relating to credit for reinsurance and term and universal life insurance reserve financing took effect in Wyoming on November 30, 2017. The regulations implement amendments to Wyoming statutes that took effect...more

Can AI help compliance teams work smarter?

As cognitive computing continues to make great strides, how can compliance professionals harness the power of machine learning and artificial intelligence (AI) to help solve the regulatory challenges they encounter on a daily...more

Education Department Toughens Tone on Cyber and Threatens to Pull Funding for Non-Compliance

Recently-issued guidance from the U.S. Department of Education (ED) threatens to “yank” Title IV funding for post-secondary institutions lacking appropriate data security safeguards....more

Corp Fin Director Discusses Policy, Outreach and Future Areas of Focus

by WilmerHale on

Earlier this month, SEC Division of Corporation Finance Director William Hinman delivered the keynote address at the Practising Law Institute’s Seventeenth Annual Institute on Securities Regulation in Europe. Director Hinman...more

Hong Kong Securities and Futures Commission Proposes Raising Whitewash Approval Threshold

by Jones Day on

The Situation: The high level of certainty of obtaining shareholders' approval for whitewash waivers could lead to potential abuse by parties looking to obtain or consolidate control through whitewash transactions in Hong...more

Scrutiny of Assisted Living Facilities

On February 4th, the New York Times had an article which should give the ALF industry pause. It reported that at the request of four senators, the Government Accountability Office commissioned a two-year investigation of...more

State Regulators Agree to Multistate Licensing Process for Money Service Businesses

by Ballard Spahr LLP on

The Conference of State Bank Supervisors (CSBS) announced last week that seven states have agreed to a multi-state compact that, according to the CSBS, “standardizes key elements of the licensing process for money services...more

Foley’s 2017 Connected Cars & Autonomous Vehicles Survey - Part 1

by Foley & Lardner LLP on

We’re in the midst of a rapid evolution not only in the way drivers operate their vehicles, but also in the operations, compliance, go-to-market strategy and cyber preparedness of the entire automotive industry. More than 70...more

SEC’s OCIE Announces 2018 Areas of Focus

On February 7, 2018 the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2018 National Exam Priorities. The priorities, formulated with input from the Chairman, Commissioners, SEC Staff and fellow...more

FDA Issues New Compounding Guidance

In January 2018, the U.S. Food & Drug Administration (FDA) published two guidance documents on Compounded Drug Products That Are Essentially Copies Of Approved Drug Products under Section 503A and Section 503B of the Federal...more

North Carolina Seeks to Deliver Emergency Supplies via Drone

The North Carolina Department of Transportation (DOT) and state officials are currently building plans to use drones to deliver emergency supplies across the state; however, several hurdles need to be overcome first....more

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Cybersecurity

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