Audits

News & Analysis as of

Top Six Frequently Asked Questions About the AODA for Franchisors and Franchisees

In Ontario, the Accessibility Directorate of Ontario has been increasingly active in pursuing enforcement actions against organizations that have not complied with their requirements under the Accessibility for Ontarians with...more

Upcoming Ontario Ministry Of Labour Blitzes

Ontario’s Ministry of Labour has announced several upcoming blitzes during which it will ensure that employers in specified industries are compliant with particular areas of concern under the Employment Standards Act, 2000...more

Employers Must Be Prepared for I-9 and E-Verify Inspections - Immigration and Customs Enforcement (ICE) Inspection of Forms I-9...

Has ICE Been Busy in 2013? What to Expect if You Get a Notice of Inspection - On November 6, 1986, the Immigration Reform and Control Act required employers to verify the identity and employment eligibility of their...more

SEC Issues New FAQs on Conflict Minerals

On April 7, the Division of Corporation Finance of the Securities and Exchange Commission issued nine new responses to frequently asked questions regarding the disclosure of conflict mineral usage that is required by rules...more

The Corporate Governance Review: Chapter 4: Canada

OVERVIEW OF GOVERNANCE REGIME - Canada’s system of corporate governance is derived from the British common law model and strongly influenced by developments in the United States. While corporate governance practices in...more

OCR Releases Information on What Phase 2 HIPAA Audits Will Look Like

The HHS Office for Civil Rights (OCR) recently presented information about the new look of its Phase 2 audit program. The new audits will look little like the old ones, with OCR conducting the audits itself and focusing on...more

SEC Staff Issues Additional Guidance on Conflict Minerals

On April 7, 2014, the SEC Division of Corporation Finance (the Division) issued responses to nine frequently asked questions (FAQs) on the reporting requirements regarding conflict minerals originating in the Democratic...more

CMS Identifies Key Priorities for 2014 Compliance Reviews of Qualified Health Plans in the Federally Facilitated Marketplace

At a Centers for Medicare & Medicaid Services ("CMS") teleconference titled "Compliance Reviews in the Federally-Facilitated Marketplace" ("FFM"), which was held on April 10, 2014, CMS representatives discussed the agency's...more

Benesch B-Cast 07: Immigration Deadlines and Demands Employers Need to Know [Video]

Benesch's Rick Hepp discusses Immigration Deadlines and Demands Employers Need to Know....more

Governance & Securities Law Focus: Europe Edition, April 2014

In this issue: - EU Developments - German Developments - UK Developments - Us Developments - Excerpt from EU Developments - European Commission Proposes to Introduce Shareholder "Say...more

Future OCR Audits Have Little in Common With Previous Round—Here’s How to Prepare

The HHS Office for Civil Rights (OCR) recently presented information about the new look of its Phase 2 audit program. The new audits will look little like the old ones, with OCR conducting the audits itself and focusing on...more

No More Excuses: HHS Issues New HIPAA Tool for Small Businesses

Three U.S. Department of Health and Human Services (“HHS”) agencies, the Office for the National Coordinator for Health IT (“ONC”), in conjunction with the Office for Civil Rights (“OCR”) and the Office of the General Counsel...more

ONC’s Security Risk Assessment Tool Is Useful but Could Be Improved

The Office of the National Coordinator for Health Information Technology (ONC) released a Security Risk Assessment Tool (SRA Tool) on March 28. According to the User Guide for the SRA Tool, the Tool is designed to help small...more

Tough ICE Deportation, I-9 Worksite Enforcement Efforts Continue To Affect Employers

As employers know, failing to comply with I-9 requirements can lead to fines, the loss of federal funding, even criminal sanctions against employers and, as we discussed at this year’s Employment Law Conference, their...more

New Round of HIPAA Audits To Begin Later This Year

The Department of Health and Human Services’ Office for Civil Rights (OCR) recently announced it will resume its HIPAA compliance audit program — launched as a pilot program in 2012 — on a permanent basis in 2014. In...more

Basel Committee Issues Revised Guidelines Concerning External Audits of Banks

The Basel Committee on Banking Supervision (the “Basel Committee”) of the Bank for International Settlements issued a revised set of guidelines (the “Guidelines”) concerning the external audits of banks. The Basel Committee...more

Enforcement of the Two-Midnight Rule Delayed Again

Last week President Obama signed into law a measure to extend Medicare physician pay rates for one year and to extend the enforcement delay of the “Two-Midnight” rule through March 2015. Medicare Recovery Audit Contractors...more

CFTC Issues Interpretation Regarding Auditor Independence Standards

On March 28, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight issued an interpretive statement regarding the auditor independence standards applicable to futures commission...more

Corporate and Financial Weekly Digest - Volume IX, Issue 14

In this issue: - SEC Requests Comment on FINRA Rules - CFTC Issues Interpretation Regarding Auditor Independence Standards - OTC Derivatives Regulators Group Issues Report to G20 - NFA...more

Are You Ready For Your Next Audit?

By now, federal contractors should have taken a hard look at their current Affirmative Action Plan (AAP) policies, procedures and documentation to ensure compliance with the new requirements. Under the Office of Federal...more

Life Cycle Management Of Third Parties – Step 5 – Management Of The Relationship

Today ends my review of what I believe to be the five steps in the management of a third party under an anti-bribery regime such as the Foreign Corrupt Practices Act (FCPA) or UK Bribery Act. On Monday, I reviewed Step 1 –...more

CMS Releases Fiscal Year 2012 Recovery Auditing Report

In a recent report on the Recovery Audit program for fiscal year (FY) 2012, CMS reports that Recovery Auditors identified $2.4 billion dollars in improper payments, including $2.3 billion in overpayments and $109.4 million in...more

OCR to Resume HIPAA Audits. Get Ready Now!

In a Feb. 24 notice in the Federal Register, the HHS's Office for Civil Rights (OCR) announced its intention to resume its HIPAA Audit Program. By and large, the audit program has been inactive since December 2012, when OCR...more

Auditors’ Liability to Third Parties: An emerging defence – Part I

Interesting policy issues arise when auditors of corporations whose management has fraudulently misrepresented the company’s financial statements find themselves defending claims brought on behalf of the corporation by...more

DHHS Gearing Up to Begin HIPAA Audits of Business Associates

The office of US Department of Health and Human Services Secretary Kathleen Sebelius recentlyannounced plans to perform "pre-audit" HIPAA compliance surveys of 800 Covered Entities and 400 Business Associates. Under the...more

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