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Compliance Administrative Procedure Act

Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory violations. ... more +
Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory violations.  In response to many corporate scandals evidencing rampant unethical business practices, many nations, including the United States, began passing strict regulatory frameworks aimed at curbing these abuses. Notable pieces of legislation in this area include the U.S. Foreign Corrupt Practices Act (FCPA), Sarbanes-Oxley (SOX), and the U.K. Bribery Act, to name a few. The foregoing statutes and the severe penalties often associated with them form the basis of many modern institutional compliance programs. less -
Proskauer Rose LLP

Wealth Management Update - September 2024

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The September 2024 Section 7520 rate for use with estate planning techniques such as CRTs, CLTs, QPRTs and GRATs is 4.8%, a decrease from the August 2024 rate of 5.2%. The September applicable federal rate (“AFR”) for use...more

Pierce Atwood LLP

Down to the Wire for Employers and FTC Noncompete Ban

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Employers are running out of time to comply with the FTC’s purported regulatory ban on non-competition agreements. The ban – announced on April 23, 2024 – is scheduled to take effect on September 4. 2024....more

Smith Gambrell Russell

Compliance with Ambiguous Regulations – State of the Law and Trends

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Federal administrative law is largely about policing delegations of power from Congress to Executive Branch agencies, and the administrative law concept of “deference” is about delegation of interpretative power over...more

Holtzman Vogel Baran Torchinsky & Josefiak

In Compliance: Holtzman Vogel's July 2024 Round-Up

Holtzman Vogel attorneys wrote on the Supreme Court's landmark Loper Bright decision earlier this month. The Court overruled its 1984 decision in Chevron v. NRDC that introduced the so-called "Chevron deference" principle...more

Venable LLP

Supreme Court's Chevron Decision and Its Implications for AI Regulation

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On June 28, the Supreme Court issued a landmark decision on Chevron deference through its rulings on Loper Bright Enterprises v. Raimondo and Relentless, Inc. v. Department of Commerce. These decisions reversed the...more

Smith Gambrell Russell

Chevron Doctrine Overruled – Potential Impacts on Plan Sponsors and Employee Benefit Plans

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In an opinion announced on June 28, 2024, the Supreme Court overturned Chevron U.S.A., Inc. v. Natural Resources Defense Council, which set forth the decades-old Chevron doctrine (also known as Chevron deference). The...more

ArentFox Schiff

Four Months Out: Private Fund Advisors Prepare for September Compliance Deadline Amidst Challenge in the Fifth Circuit

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In September 2023, we covered the Rules (Rule) published by the US Securities and Exchange Commission (SEC), developed to promote transparency for investors by increasing visibility into compensation schemes, sales practices,...more

DirectEmployers Association

OFCCP Week In Review: December 2023 #3

Monday, December 4, 2023: Without Notice, OFCCP Updated Its Construction Program and CSAL FAQs - OFCCP quietly updated two of its FAQ sections to address how it will handle enforcement of federal contractor compliance...more

BCLP

Fifth Circuit Sends SEC Back to Cost-Benefit Drawing Board to Substantiate Its New Stock Repurchase Disclosure Rules Within 30...

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On October 31, 2023, the Fifth Circuit ruled in Chamber of Commerce v. SEC that the SEC acted arbitrarily and capricious, in violation of the Administrative Procedure Act, when it adopted the new share repurchase disclosure...more

McDermott Will & Emery

[Hybrid Event] Healthcare Litigation, Compliance and Investigations Forum 2023 - November 1st, Chicago, IL

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McDermott’s Healthcare Litigation, Compliance and Investigations Forum is back when you need it the most. Heightened regulatory scrutiny and enforcement activity pose legal, financial and reputational risks for healthcare...more

Goldberg Segalla

Microplastics: Nurdle Law and Regulation Update

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Seventy-nine percent of plastic waste ends up in landfills or the environment, much of which eventually ends up in our oceans. A March 8, 2023 study, estimated the average amount of small plastics in the ocean surface layer...more

ArentFox Schiff

Significant New Private Fund Rules Adopted by SEC

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On August 23, 2023, in its efforts to promote transparency for investors by increasing visibility into compensation schemes, sales practices, and conflicts of interest, the US Securities and Exchange Commission (SEC) adopted...more

Proskauer - The Capital Commitment

Lawsuit Challenges Private Fund Adviser Rules

On Friday, September 1, 2023, a lawsuit was filed with the federal Court of Appeals in the Fifth Circuit challenging the validity and enforceability of the recently adopted Private Fund Adviser Rules under the Investment...more

King & Spalding

Federal District Court Grants Injunction Barring CMS from Implementing New Policy on Medicaid Funding Designed to Prevent...

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On June 30, 2023, the United States District Court for the Eastern District of Texas (the Court) granted the State of Texas’ preliminary injunction motion, enjoining CMS from implementing and enforcing its Informational...more

Shipkevich PLLC

Michigan Suspends FTX Lend Money Transmitter License and Orders FTX US License as Expired

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On January 10, 2023 by the Michigan Department of Insurance and Financial Services (DIFS), issued an order regarding two companies, West Realm Shires Services, Inc. dba FTX US (“FTX US”) and FTX Lend Inc. Both companies are...more

Bradley Arant Boult Cummings LLP

District Court Ruling Clears Way for Small Dollar Rule Compliance Date in June 2022

Yesterday, in Community Financial Services Association of America, Ltd. v. Consumer Financial Protection Bureau, a lawsuit involving implementation of the payment provisions of the Payday, Vehicle Title, and Certain High-Cost...more

Holland & Knight LLP

TSA's Pipeline of Cybersecurity Requirements

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The Transportation Security Administration (TSA) on July 20, 2021, reversed two decades of pipeline cybersecurity policies. Having previously advocated for voluntary pipeline cybersecurity standards, the TSA quickly issued...more

Bradley Arant Boult Cummings LLP

The Ongoing Saga of the CMS Hospital Price Transparency Rule

The Centers for Medicare & Medicaid Services (CMS) Hospital Price Transparency Rule went into effect on January 1, 2021, but whether it will succeed in making prices readily comparable for healthcare consumers remains to be...more

Dorsey & Whitney LLP

The SEC and SARs

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The Commission periodically has filed enforcement actions against broker-dealers for failing to file SARs - suspicious activity reports - typically centered on a failure to file reports regarding microcap issuers. Those...more

McDermott Will & Emery

“Because of Bostock” – Court Delays HHS Rule Re-interpreting Section 1557 Discrimination “Because of Sex”

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One day before an updated rule of the US Department of Health and Human Services regarding Section 1557 of the Patient Protection and Affordable Care Act took effect, the US District Court for the Eastern District of New York...more

Pillsbury Winthrop Shaw Pittman LLP

Title IX Compliance Deadline Quickly Approaching

District Courts in New York and the District of Columbia have denied motions to enjoin the August 14 effective date for new Title IX regulations for college campuses. The U.S. Department of Education rule establishing...more

DirectEmployers Association

OFCCP Week In Review: June 2020 #4

The DE OFCCP Week in Review (WIR) is a simple, fast and direct summary of relevant happenings in the OFCCP regulatory environment, authored by experts John C. Fox, Candee Chambers and Jennifer Polcer. In today’s edition, they...more

Health Care Compliance Association (HCCA)

Court Says Inpatients Changed to Observation Have Right to Appeal, Orders New Process

Report on Medicare Compliance 29, no. 12 (March 30, 2020) A federal court on March 24 ordered CMS to let Medicare patients “challenge decisions by hospitals” to change their status from inpatients to observation, dating...more

Allen Matkins

White House Orders Agencies To Offer Opinion Letters Or Does It?

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Last month, the White House issued this fact sheet concerning two executive orders intended "to improve the transparency and fairness of government agencies and ensure that they are held accountable". The fact sheet describes...more

Dorsey & Whitney LLP

DOJ and Compliance

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The Department of Justice and the Securities and Exchange Commission have repeatedly focused on corporate compliance in recent years as a way to mitigate liability.  Neither the DOJ nor the SEC is about to recognize a...more

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