February 5, 2013
Goodwin Procter Alert - HHS Issues Long-Awaited Final HIPAA Omnibus Rule |
Goodwin Procter Alert - New NYSE and NASDAQ Listing Standards Approved: Compensation Committee Independence, Compensation Adviser Engagement and Independence |
The NYSE Rules will be effective on July 1, 2013, although companies are not required to comply with the NYSE Rules concerning the independence of compensation committee members until the earlier of (i) the first annual meeting held after January 15, 2014 or (ii) October 31, 2014. The NASDAQ Rules also will be effective on July 1, 2013, although companies are not required to comply with the NASDAQ Rules concerning the independence of compensation committee members, and the requirement that companies have a formal compensation committee and written compensation committee charter, until the earlier of (i) the first annual meeting held after January 15, 2014 or (ii) October 31, 2014. In connection with these changes, NASDAQ-listed companies are required to certify to NASDAQ, no later than 30 days after the final applicable implementation deadline, that they have complied with the new compensation committee composition and charter requirements. |
Goodwin Procter Alert - SEC Enforcement Division Signals Likely Increase in Private Equity Enforcement Actions |
February 12, 2013
February 19, 2013
February 26, 2013
March 5, 2013
March 12, 2013
Comptroller of the Currency Curry Testifies on OCC’s Supervision and Enforcement of BSA/AML Compliance and Discusses Future BSA/AML Corporate Governance Compliance Guidance to be Provided by the OCC |
OCC Issues Guidance Concerning Process by Which National Banks and Thrifts Sponsoring a Short-Term Investment Fund Must Make Monthly Disclosures to the OCC |
Banks managing short-term investment funds must comply with all provisions of the STIF Rule beginning July 1, 2013, with the first monthly reports due August 7, 2013. |
IRS Office of Chief Counsel Makes Publicly Available Field Attorney Advice Memorandum Concerning Capitalization of Costs of Holding OREO Property |
SEC Requests Information on Standards of Conduct for Broker-Dealers and Advisers When Advising Retail Customers |
The submission deadline is July 5, 2013. |
March 19, 2013
March 26, 2013
April 2, 2013
Goodwin Procter Alert and April 17 Seminar Provide Updates for Non-European Private Fund Managers on the European Union Alternative Investment Fund Managers Directive |
Effective July 22, 2013 (subject to any extensions that may be granted, e.g., the UK proposal discussed in the April 30, 2013 Financial Services Alert), the European Union Alternative Investment Fund Managers (AIFM) Directive will govern the marketing and operation of alternative investment funds within the European Economic Area. |
New Goodwin Procter ERISA Litigation Update Available |
ISDA Releases Second Dodd-Frank Protocol |
FRB, FDIC and OCC Issue Updated Guidance Concerning Leveraged Lending |
The compliance deadline for the Interagency Guidance is May 21, 2013. |
Federal Agencies Issue Guidance Concerning Revisions to Flood Disaster Protection Act |
April 9, 2013
April 16, 2013
April 23, 2013
April 30, 2013