Audits, Compliance | JD Supra Law News

The Three Amigos/Amigas: Compliance, Audit And Legal

by Michael Volkov on 5/7/2013

Every compliance program depends on collaboration. No one actor at a company determines the success or failure of a corporate compliance program....more

Wage and Hour Compliance Checklist - How to avoid class actions and prepare for a government audit

by D. Michael Reilly | Lane Powell PC - Labor & Employment Law on 5/2/2013

Will Rogers once said, “Everything is funny as long as it is happening to somebody else.” Employee wage and hour class actions and government audits are never funny. Just ask the president of a sheetrock company sentenced in...more

Anti-Corruption High-Risk Audits

by Michael Volkov on 4/29/2013

The Justice Department and the SEC should be credited with promoting new compliance strategies and best practices. Whatever you may think about the DOJ/SEC FCPA enforcement program, they have pushed businesses to enhance...more

Compensation and Unrelated Business Income are Focus of IRS Colleges and Universities Report

by Ropes & Gray LLP on 4/29/2013

Just a few weeks before many tax-exempt organizations file their annual Form 990, the IRS yesterday released its final report on the Colleges and Universities Compliance Project, which it had initiated in 2008 by sending...more

Earth Matters - April 2013

by Kimberly Barnashuk, Jennifer Dougherty, Patrick Fitzgerald, Morgan Graham, Kevin Hogan, Susan Marriott, Donald Ross, Adam Walters | Phillips Lytle LLP on 4/19/2013

In This Issue: - Making Solar Power More Affordable for New Yorkers - Fracking Moratorium Leads to Termination of Oil and Gas Leases - New Water Withdrawl Permit Requirements - Update on Federal Trade...more

New Charter Outlines Concrete Steps to Implement the International Code of Conduct for Private Security Contractors

by Elizabeth Holland | Foley Hoag LLP - Corporate Social... on 4/11/2013

The International Code of Conduct for Private Security Service Providers’ Association recently published its Charter. This marks a critical step in the establishment of oversight and governance processes to operationalize the...more

2013 Mutual Funds and Investment Management Conference

by Ropes & Gray LLP on 4/10/2013

In this presentation: - General Counsel’s Address - Keynote Address - General Session — It’s a Small World After All: How Non-U.S. Regulators Affect Your Business - General Session — Closer to...more

FCPA Snapshot – 2012

by Victoria R. Danta, William H. Devaney, Jan Lawrence Handzlik, Lindsay B. Meyer, Robert Meyerhoff | Venable LLP on 4/3/2013

In 2012, DOJ and the SEC brought 25 new Foreign Corrupt Practices Act (“FCPA”) enforcement actions, a significant decrease from the number of FCPA enforcement actions brought in 2011 (45) and the prolific 2010 (71). However,...more

Monitoring Of Third-Party Agents And Distributors

by Michael Volkov on 4/3/2013

Try to imagine what DaVinci said to himself when he painted his last brush stroke on the Mona Lisa. Or consider what Tolstoy muttered to himself when he put down his pen after writing the last word of War and Peace....more

Hospitals: Audits And Compliance

by Michael Volkov on 4/2/2013

Hospitals are under intense scrutiny. The federal government knows that one sure way to reduce healthcare costs is to get hospitals to lower their costs. Hospitals feel the pinch given the need to generate revenue but know...more

Energy Alert: FERC Hits Entergy Hard For Violations Of NERC Reliability Standards: Orders $975,000 Penalty

by Craig Silverstein, Kate Solheim | Leonard, Street and Deinard on 4/1/2013

On March 28, 2013, the Federal Energy Regulatory Commission issued an Order Approving Stipulation and Consent Agreement between FERC's Office of Enforcement and Entergy Services, Inc. The Agreement settles an investigation...more

Use of Forensic Accounting to Avoid a Compliance Meltdown

by Thomas Fox on 3/28/2013

On this date in 1979, the worst accident in the history of the US nuclear power industry began when a pressure valve in the Unit-2 reactor at Three Mile Island fails to close. Cooling water, contaminated with radiation,...more

Third Party Risks And Internal Auditors

by Michael Volkov on 3/27/2013

You remember the corny song – “People who need people are the luckiest people in the world.” For a Chief Compliance Officer that saying is particularly important when it comes to third party risks. CCOs need their...more

What To Do If Your Gut Says It’s Wrong: Lessons from Project Alpha

by Thomas Fox on 3/21/2013

I often write about what can happen to companies who run afoul of the Foreign Corrupt Practices Act (FCPA). Usually enforcement actions focus on companies and not individuals. However, as is often pointed out by commentators...more

Due Diligence When Renewing A Third Party Relationship

by Michael Volkov on 3/20/2013

Happily married couples like to renew their wedding vows. It is a great celebration of love. When you meet the spouse of your dreams, it is a wonderful ceremony. I look forward to such an event with my wonderful wife,...more

Breaking Bad: When A Good Employee Goes Bad?

by Michael Volkov on 3/19/2013

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

DOL Audits Of Employer-Sponsored Group Health Plans Now Include Healthcare Reform Compliance

by Kelley E. Kaufman | McNees Wallace & Nurick LLC on 3/18/2013

The U.S. Department of Labor (the "DOL") has recently enhanced its enforcement activities with respect to group health plans by significantly increasing the number of audits it is conducting. In addition, the DOL's audit...more

How Do You Determine the Gold Standard For Compliance Programs?

by Thomas Fox on 3/14/2013

What is the gold standard for scientific minds? You might not do better than Albert Einstein who was born on this date in 1879. While most lay persons remember Einstein for his theory on special relativity, and his attendant...more

The Future Of Compliance – What Will The New Tools Look Like?

by Michael Volkov on 3/13/2013

If you look back five years and ask – how much has changed in the compliance world in the last five years? – the answer is remarkable. I can easily make the argument that the biggest change in corporate governance over the...more

Suzanne Folsom & Christopher Burnham on Private Sector Lessons [Video]

by LEVICK on 3/6/2013

As part of a continuing series of LEVICK video interviews with thought leaders across multiple disciplines and industry sectors, I recently sat down with noted good governance experts Suzanne Folsom and Christopher Burnham to...more

Detecting and Preventing Fraud and Embezzlement

by William H. Devaney, Jeffrey S. Tenenbaum | Venable LLP on 3/6/2013

In this presentation: - Recent Examples of Nonprofit Embezzlement - Why Does Employee Fraud Occur? - Why Are Nonprofits Frequently the Victims of Embezzlement? - External Audits - Fraud Risk...more

Be Aware of More Aggressive Enforcement of Equal Pay

by Renee Inomata | Burns & Levinson LLP on 3/1/2013

The Director of the Office of Federal Contract Compliance Programs (OFCCP), Patricia A. Shiu, just announced that prior voluntary guidelines and compliance standards for federal contractors and subcontractors to comply with...more

A Roadmap for Audit Committees in Meeting the Challenges Posed by Enhanced Regulatory Scrutiny Under the Dodd-Frank Act

by N. Richard Janis, Jennifer Sincavage | Manatt, Phelps & Phillips, LLP on 2/25/2013

Audit committees must aid management in navigating an increasingly complex regulatory framework. Two recent developments arising from the passage and implementation of the Dodd-Frank Act have led to further challenges for...more

DOL Audit Letters Requesting Proof of Compliance with Health Care Reform Requirements

by Maggie McTigue, Susan M. Nash, Mary Samsa | McDermott Will & Emery on 2/20/2013

The U.S. Department of Labor (DOL) audits already evaluate a company’s compliance on a spectrum of laws, statutes and regulations. However, the DOL has updated and revamped its audit letter to now also capture compliance...more

Auditing the Adults: U.S. Insurance Regulators' Increased Focus on Non-Insurer Parents

by Richard Liskov, Thomas F. Morante, John Sarchio | Holland & Knight LLP on 2/4/2013

Originally published in LIMRA Regulatory Review on 1/2013 If there is one change in U.S. insurance regulation that directly resulted from the financial crisis of 2008, it is the expansion of regulatory oversight of the...more

Home

Legal News

Find a Lawyer

Browse Subjects

Subscribe

Pro Services

For Reporters

Audits › Compliance

The Three Amigos/Amigas: Compliance, Audit And Legal

Wage and Hour Compliance Checklist - How to avoid class actions and prepare for a government audit

Anti-Corruption High-Risk Audits

Compensation and Unrelated Business Income are Focus of IRS Colleges and Universities Report

Earth Matters - April 2013

New Charter Outlines Concrete Steps to Implement the International Code of Conduct for Private Security Contractors

2013 Mutual Funds and Investment Management Conference

FCPA Snapshot – 2012

Monitoring Of Third-Party Agents And Distributors

Hospitals: Audits And Compliance

Energy Alert: FERC Hits Entergy Hard For Violations Of NERC Reliability Standards: Orders $975,000 Penalty

Use of Forensic Accounting to Avoid a Compliance Meltdown

Third Party Risks And Internal Auditors

What To Do If Your Gut Says It’s Wrong: Lessons from Project Alpha

Due Diligence When Renewing A Third Party Relationship

Breaking Bad: When A Good Employee Goes Bad?

DOL Audits Of Employer-Sponsored Group Health Plans Now Include Healthcare Reform Compliance

How Do You Determine the Gold Standard For Compliance Programs?

The Future Of Compliance – What Will The New Tools Look Like?

Suzanne Folsom & Christopher Burnham on Private Sector Lessons [Video]

Detecting and Preventing Fraud and Embezzlement

Be Aware of More Aggressive Enforcement of Equal Pay

A Roadmap for Audit Committees in Meeting the Challenges Posed by Enhanced Regulatory Scrutiny Under the Dodd-Frank Act

DOL Audit Letters Requesting Proof of Compliance with Health Care Reform Requirements

Auditing the Adults: U.S. Insurance Regulators' Increased Focus on Non-Insurer Parents

Suzanne Folsom & Christopher Burnham on Private Sector Lessons [Video]

Expand Your Reach