Certificates of Compliance

News & Analysis as of

Proceed With Caution: Does HIPAA Apply to Your Business?

Even if your business is not in the health care industry, the Health Insurance Portability and Accountability Act of 1996 (HIPAA), as updated by the Health Information Technology for Economic and Clinical Health Act (HITECH...more

A Review of Recent Whistleblower Developments

SEC Awards Another Whistleblowing Compliance Officer - On April 22, 2015, the Securities and Exchange Commission (SEC) announced an award between $1.4 and $1.6 million to a compliance officer who provided information...more

New York State Passes Campus Sexual Assault Law

On June 17, 2015, the New York State Legislature passed legislation governing how colleges and universities address sexual assault, dating violence, domestic violence and stalking. The governor is expected to sign it...more

FCPA Compliance and Ethics Report-Episode 169-the First Mailbag Issue [Video]

In this inaugural Mailbag Episode, I field questions from an earlier podcast on the training of third parties under the FCPA. ...more

Coast Guard seeks comments on multiyear renewal option for vessel documentation fees

In the March 3, 2015 Federal Register, the Coast Guard published a request for comments related to the Vessel Documentation Renewal Fees established in August 2014. The Coast Guard is considering options for implementing...more

Reminder: FCC Recordkeeping Compliance

By no later than April 1, 2015, entities providing telecommunications, VoIP, or advanced communications services (email, text) must certify to the Federal Communications Commission (FCC) to their compliance in 2014 with the...more

Good Compensation Committee News from Nasdaq

The Nasdaq Stock Market recently amended its listing rules to loosen the test for compensation committee member independence. The old rule, which implements the SEC’s Rule 10C-1 under the Exchange Act, prohibited members from...more

Monitoring Of Third-Party Agents And Distributors

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

SCOTX Fixes Word-Count Glitches

The Texas Supreme Court has issued an order correcting some of its recent amendments to the Texas Rules of Appellate Procedure. The most notable correction involves the certificate-of-compliance requirement regarding the new...more

Small Business Securities Bulletin - SEC Approves Nasdaq Rule Addressing Compensation Committees, Consultants

A periodic bulletin keeping small businesses informed about current developments in securities law and related matters. Final Nasdaq Rule - In our October 2012 Bulletin, we discussed The NASDAQ Stock Exchange LLC’s...more

FCC Reminds Advanced Communications Services Providers and Equipment Manufacturers of CVAA Recordkeeping Obligations and...

Recently, the FCC issued a Public Notice reminding the providers and equipment manufacturers of advanced communications services (ACS) of their obligation to maintain records evidencing their efforts to comply with the...more

Crafting a TRAP 9.4(i)(3) Certificate of Compliance

As promised yesterday, this post will cover what a certificate of compliance under the new word-count rules might look like, now that every computer-generated document filed in a Texas appellate court on or after December 1,...more

The DOJ And SEC Issue Their Comprehensive Guide To The U.S. Foreign Corrupt Practices Act

General Counsels, Chief Executive Officers, Chief Financial Officers, and Corporate Secretaries of U.S. publicly-traded companies across the country must take individual responsibility for the accuracy and completeness of...more

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