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From Second and State: The Week Ahead – June 16-20, 2014

The House and Senate will be back in session Monday, June 16 at 1:00 p.m. As June – otherwise dubbed “budget month” – ticks away, both chambers have four session days scheduled next week, and the House Appropriations...more

New York Financial Services Regulator Urges More Enforcement Against Individuals, Reaffirms Focus On Nonbank Mortgage Servicers

On March 19, New York State Department of Financial Services (DFS) Superintendent Benjamin Lawsky called on banking regulators to assess whether they are doing enough, particularly with regard to enforcement, to deter or...more

Legislative Update Report No. 2014-01 -- Jan 13, 2014

In This Article: Federal Government; Alberta; British Columbia; Manitoba; New Brunswick; Newfoundland; Northwest Territories; Nova Scotia; Nunavut; Ontario; Prince Edward Island; Québec/Quebec; Saskatchewan; and Yukon....more

Client is contacted by IRS or DOL, have them be courteous and call an ERISA attorney

When you get pulled over by the police while driving, the best way to handle is to be pleasant and not be argumentative. You listen to the officer as to why he pulled over. Being belligerent and non-cooperative will only lead...more

Corporate and Financial Weekly Digest - October 25, 2013

In this issue: - SEC Proposes New Rules for Crowdfunding Exemption - CFTC Provides Clarification for SD and MSP Employees Acting in Clerical or Ministerial Capacities - CFTC Requests Public Comment on MAT...more

You Cannot Take The Embezzler’s 401(k) Plan Balance

Many employers know that with few exceptions a participant’s benefit in a tax qualified retirement plan is protected from the participant’s creditors. One exception is for court orders, known as qualified domestic relations...more

Welcome Back My Friends To The Show That Never Ends

...“Welcome back my friends” would certainly seem to be an excellent way to introduce today’s topic; that being the stunning report in the Sunday New York Times (NYT), that JP Morgan is under Foreign Corrupt Practices Act...more

The Grim Reaper, GlaxoSmithKline And The Death Knell For The Compliance Defense

The addition of a compliance defense has raised its head again in the Foreign Corrupt Practices Act (FCPA) commentariat....more

Climbing Everest And Your Compliance Process

What is your compliance process? I thought about that question when I read an article in this month’s National Geographic Magazine entitled “Maxed Out on Everest” by Mark Jenkins....more

Alabama Legislative Update – Week 9: Bills Make Significant Progress in the House

Legislators convened for a three-day work week that ended in early adjournment on Thursday afternoon as lawmakers left Montgomery to beat anticipated severe weather. Day 20 concluded a week that saw progress on several...more

Breaking Bad: When A Good Employee Goes Bad?

No matter how strong a company’s compliance program, there is always a risk. No matter how many times employees are trained, complete certifications and are reminded of their FCPA compliance obligations, there is always a...more

Socio-Economic and Cultural Risk Factors That Drive Corruption: A Focus on the ‘Supply Side’ of the Equation

This is the last installment of my three party series regarding Occupational Fraud. One can never lose focus on what I consider the key question as they enter or play within the international arena: What are the...more

Bank Liability to Non-Customers in a Ponzi Scheme

The morning news reports flashes a report that your customer was actually a Ponzi scheme and defrauded numerous people. Of course, this is terrible news for the innocent victims, but, you ask yourself, could my bank be...more

Why Status Matters

The UK Court of Appeal recently decided that a law firm partner was not a “worker” of the firm. The partner could not, therefore, bring a whistleblowing claim against the firm after she was dismissed from the partnership...more

Hack Attack: US Financial Institutions in the Cross-Hairs

Last week the FBI released a fraud alert warning financial institutions that cyber criminals have been using tactics such as spam and phishing emails to obtain employee log-in credentials. After obtaining the credentials the...more

The Time is Now: Wage Theft Prevention Act Compliance Tips

The hot topic of discussion in all HR circles surrounds the first annual notice that is required to be provided to all employees this month under the Wage Theft Prevention Act. In prior Alerts, we informed you of the various...more

White Collar Crime & Investigations Law Update - April 2011

In this issue: Skilling and Honest Services Fallout; and New Whistleblower Provision. Excerpt from 'Skilling and Honest...' Federal prosecutors announced on January 13, 2011 that they would not seek to retry convicted...more

Tax Consequences for Customer Data Theft

Identity theft is not a trivial issue. The costs to our national, state and local economies, businesses and individual consumers are substantial. According to Forbes, the 2009 estimated cost of identity theft was $54 billion....more

The Criminal Provisions of ERISA

As has been widely reported, the Assistant Secretary of the U.S. Department of Labor (DOL) responsible for the administration of ERISA has publicly suggested that DOL, in conjunction with the U.S. Department of Justice (DOJ),...more

FAR Rules for Stimulus Funded Contracts: Alert 2 - Enhanced Whistleblower Protections

In our May 5, 2009, Alert, we addressed the recent issuance of five Federal Acquisition Regulation ("FAR") Counsel interim rules1 that are required by the American Recovery and Reinvestment Act of 2009 ("ARRA" or "Stimulus...more

Keeping Your Jurors Organized

Our society values spontaneous creativity: We marvel at jazz improvisations, delight in a stand-up comic?s ability to create something out of nothing and admire an artist who quickly turns a blank canvas into a gorgeous...more

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