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Audits Dept. of Justice

The PCAOB, Audits, and Compliance - Considerations for the Chief Compliance Officer

by Thomas Fox on

I recently had the chance to visit with Joe Howell, the Executive Vice President of Workiva LLC, to discuss, among other things, the function of the Public Companies Accounting Oversight Board (PCAOB) and what role it might...more

No Immigration Surprises in President’s Proposed Budget - Mandatory E-Verify, Boosted Enforcement Among Priority Requests

by Fisher Phillips on

President Trump’s proposed budget released by the White House earlier this week contains no real surprises when it comes to the immigration provisions. The budget supports President Trump’s promises to increase immigration...more

Creation of Roundabout and Operationalization of Compliance

by Thomas Fox on

Readers of this blog know of my love for progressive rock music and that my favorite prog rock group is Yes. You might understand how thrilled I was when the Wall Street Journal (WSJ), of all places, ran an interview with...more

DOJ Compliance Expectations Concerning Training, Internal Investigations and Audits (Part IV of IV)

by Michael Volkov on

DOJ’s Compliance Evaluation questions provide important indications of “new” trends and approaches to compliance functions and issues. Training - In the area of training, DOJ’s Compliance Evaluation reiterates DOJ’s...more

U.S. Customs and the New Trump Administration: Your Top Ten Questions Answered

by Foley & Lardner LLP on

During the campaign, U.S. Customs & Border Protection (CBP) was mostly mentioned by President Trump in the context of illegal immigration. Controlling the flow of people, however, is only one of the jobs of CBP, which is part...more

Compliance Expertise Needed on the Board

by Thomas Fox on

This week I have been exploring the different types compliance committee’s which an organization can utilize to help effect a best practices compliance program. I have written about compliance committee’s at the Board of...more

Bridging the Week - November 2016 #3

by Katten Muchin Rosenman LLP on

Federal District Court Approves Flash Crash Spoofer’s US $38 Million Settlement; Federal Appeals Court Appears Sympathetic to Michael Coscia’s Claim That Spoofing Prohibition Is Too Vague - The US federal court handling...more

DOJ Hikes Fines for Immigration Related Violations

Despite the numerous Immigration and Customs Enforcement (ICE) headlines, the last two years have brought a significant decrease in workplace audits: 3.127 audits in 2013 to 435 audits in 2015. Similarly, the fines during...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The Commission settled another FCPA action centered on the efforts of a Chilean airline to resolve its labor issues. The agency also filed four offering fraud actions: one based on an internet fraud; a second centered on the...more

Increasing Legal Scrutiny of Website Accessibility in the Real Estate Industry

by Foley & Lardner LLP on

From fair housing laws to licensing requirements, the real estate industry is accustomed to navigating various legal constraints and requirements. However, as a result of current ambiguity in the law, class action lawsuits...more

Joe Howell on the PCAOB, Audits and Compliance – Part IV

by Thomas Fox on

This week I have been exploring the Public Accounting Oversight Board (PCAOB) with Joe Howell, an Executive Vice President (EVP) with Workiva Inc. We have considered how some of the issues addressed by the PCAOB directly...more

What Does California’s New E-Verify Law Mean For Employers?

by Hirschfeld Kraemer LLP on

Our blog post on January 5, 2016 summarized California’s new E-Verify law and other updates. So what should California employers do differently now with respect to I-9s and E-Verify? Enrollment in E-Verify remains voluntary...more

Guidance on Internal I-9 Audits

by Sherman & Howard L.L.C. on

Because a government inspection can occur with only three days written notice, some employers choose to initiate internal audits of their company’s Forms I-9, utilizing their own personnel or attorneys with immigration or...more

Workplace Enforcement Update: New Self-Audit Guidance and a New I-9 form on its Way

by Franczek Radelet P.C. on

This Workplace Enforcement Update covers two significant developments, namely new I-9 self-audit guidance published jointly by the Department of Homeland Security (“DHS”) and Department of Justice (“DOJ”) and the status of a...more

Conducting Internal I-9 Audits – ICE and DOJ-OSC Provide Joint Guidance

by McGuireWoods LLP on

A company’s I-9 file, which often goes unnoticed by all but a few HR professionals, can carry significant risk. Form I-9 files often serve as landmines for fines, penalties, and sanctions. Companies can mitigate these risks...more

DOJ and ICE Publish Joint Guidance on Internal I-9 Audits

On December 14, 2015, U.S. Immigration and Customs Enforcement (ICE) and the U.S. Department of Justice (DOJ) Civil Rights Division issued joint guidance for employers conducting internal Form I-9 Audits. The two agencies...more

Employers May Request Alternative Documents Following an Internal I-9 Audit

On October 23, the U.S. Department of Justice’s (DOJ) Office of Special Counsel for Immigration Related Unfair Employment Practices (OSC) issued a technical assistance letter (TAL) in response to an employer’s request...more

Is Your HIPAA Compliance Program Ready for the FTC?

Everyone in healthcare knows that the next round of HIPAA audits is coming. Covered entities and business associates have long been advised to review and update their HIPAA security risk analyses, have business associate...more

CPSC & DOJ Stop Two Companies from Future Importation of Children’s Products with Far-Reaching Consent Decrees

Earlier this week, the U.S. Department of Justice (“DOJ”)—at the behest of the CPSC—filed suit in California federal court against two companies and three individuals for importing products that violate the Federal Hazardous...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The Yates Memo, refocusing DOJ criminal and civil corporate investigations, continues to be the critical topic of discussion this week. The Memo, discussed here, directs that individuals be the focus of the inquiry from the...more

Great Structures Week V – The Tacoma Narrow Bridge Failure and Preventing Failure in Your Compliance Program

by Thomas Fox on

I conclude my Great Structures Week with a focus on structural engineering failures: suspension bridges and the challenges of wind in their construction and maintenance. I am drawing these posts from The Great Courses...more

Bipartisan Spotlight on Medicare Advantage Risk Adjustment Fraud Likely to Spur Audits

Potential fraud and abuse in the Medicare Advantage Program (“MA Program”) has become the focus of two senior-ranking Senators on each side of the aisle—Chuck Grassley (R-Iowa) and Claire McCaskill (D-Mo.)—and this attention...more

Levi Strauss and Auditing of Third Parties

by Thomas Fox on

Today we celebrate innovation. On this day in 1873, a patent to create work pants reinforced with metal rivets was granted. This marked the birth of one of the world’s most famous garments: the blue jeans. Jacob Davis, a...more

Implementing an Effective Third Party “Audit” Program

by NAVEX Global on

Explore new approaches to third party audits for a more effective, risk-aligned third party risk management program.    Compliance officers have been insisting on (and should continue to insist on) including third party...more

OCAHO Finds PEO Liable for Near Maximum I-9 Fines for False Employer Attestation Violations: Is Your Business Similarly Exposed?

by FordHarrison on

On January 20, 2015, Judge Ellen Thomas, a federal administrative law judge (ALJ) with the Office of the Chief Administrative Hearing Officer (OCAHO), a division of the Executive Office of Immigration Review within the U.S....more

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