Document(s) published by this organization: 169
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|Sarbanes-Oxley Whistleblower Protection Extends to Employees of Private Companies Acting as Contractors or Subcontractors of Public Companies|
John F. Adkins, Douglas T. Schwarz; Bingham McCutchen LLP;
March 11, 2014, previously published on March 7, 2014In a decision that vastly expands the number of companies subject to legal claims for retaliation against internal or external whistleblowers, the U. S. Supreme Court has ruled by a 6-3 vote that the whistleblower protections of the Sarbanes-Oxley Act extend to employees of privately held...
|Recent Reporting Order Addressed to Investment Advisors From the Kanto Local Finance Bureau|
Tomoko Fuminaga, Rie Nitta, Yoshiyuki Omori, Christopher P. Wells; Bingham McCutchen Murase Sakai Mimura Aizawa Foreign Law Joint Enterprise;
March 10, 2014, previously published on March 6, 2014Several registered Investment Advisors (“IAs”) have recently received an order (“Order”) from the Kanto Local Finance Bureau (the “KLFB”) to report certain information with respect to their advisory activities in relation to foreign funds for which they provide...
|Timeline for FATCA Compliance for Japan-Based Investment Managers and Funds|
Bingham McCutchen LLP;
March 6, 2014, previously published on February 26, 2014The U.S. Internal Revenue Service (“IRS”) and U.S. Department of Treasury (“Treasury”) released a comprehensive set of final regulations relating to the implementation of the Foreign Account Tax Compliance Act (“FATCA”) last winter. Moreover, on June 11, 2013,...
|China Issues Provisions to Govern Simple Anti-Monopoly Cases|
Brian D. Beglin, Davina Garrod, Jin Wang, Xiaowei Ye; Bingham McCutchen LLP;
March 6, 2014, previously published on February 25, 2014The Ministry of Commerce (“MOFCOM”) has issued Interim Provisions on the Standards Applicable to Simple Cases of Concentration of Business Operators (the “Provisions”) effective as of February 12, 2014, to define which M&A cases required to be reviewed by MOFCOM under...
|UK LLP and Partnership Tax Changes on 6 April 2014|
Sophie Donnithorne-Tait, Stuart Sinclair, Hugo Webb; Bingham McCutchen (London) LLP;
March 6, 2014, previously published on February 26, 2014HM Revenue & Customs has now published revised guidance on the new legislation for taxing certain members of UK limited liability partnerships (“LLPs”) as employees, available here. The “salaried members” rules will take effect from 6 April 2014, despite calls for a...
|Broker-Dealers Should Prepare for Upcoming Effective Date for Certain Amendments to the Financial Responsibility Rules|
Russell M. Fecteau, Amy Natterson Kroll; Bingham McCutchen LLP;
March 6, 2014, previously published on February 24, 2014On March 3, 2014, certain temporary exemptions from compliance with amendments to the financial responsibility requirements for U.S.-registered broker-dealers will sunset. As a result, firms soon will be required to comply with new amendments to the customer protection rule (Rule 15c3-3); the...
|Final Volcker Rule Regulations: Effects on Non-U.S. Entities|
Sumahn Das, Andrew B. Kales, Amy Natterson Kroll; Bingham McCutchen LLP;
March 6, 2014, previously published on February 26, 2014On December 10, 2013, the U.S. federal banking agencies, the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (the “CFTC,” and, together with the federal banking agencies and the SEC, the “Agencies”) jointly adopted...
|SEC Re-Opens Comment Period on Regulation AB II for Comments on Restricted Website Disclosure of Sensitive Asset-Level Data|
Charles A. Sweet; Bingham McCutchen LLP;
March 6, 2014, previously published on February 26, 2014On February 25, 2014, the Securities and Exchange Commission (the “SEC”) re-opened the comment period for the proposed amendments to Regulation AB and other rules affecting the offering process for asset-backed securities, commonly known as “Regulation AB II.” The purpose...
|FINRA Requests Comments on Proposed Amendments to Reduce Counterparty Credit Risk for Transactions in the TBA Market|
Elizabeth H. Baird, Daniel N. Budofsky, Russell M. Fecteau; Bingham McCutchen LLP;
March 6, 2014, previously published on February 24, 2014On January 27, 2014, the Financial Industry Regulatory Authority, Inc. (“FINRA”) requested comments on proposed amendments to FINRA Rule 4210 that would establish, among other things, margin requirements for transactions in the To Be Announced (“TBA”) market and close-out...
|2014 NIST Cybersecurity Framework: Overview and Business Impacts|
Bree Hann, Winnie W. Hung; Bingham McCutchen LLP;
February 19, 2014, previously published on February 18, 2014In February 2013, President Obama issued Executive Order 13636, “Improving Critical Infrastructure Cybersecurity,” directing the development of a voluntary, risk-based cybersecurity framework. The National Institute of Standards and Technology (NIST), a federal technology agency that...