Confidential Information Compliance

News & Analysis as of

Bridging the Week - June 2016 #3

SEC Overturns CBOE Determination That Individual Traders of Two Omnibus Accounts Were Customers Requiring Application of Customer Identification Rule - The Securities and Exchange Commission set aside a determination by...more

Panama Papers Scandal Puts Third Party Risk in Focus

The Panama Papers scandal should serve as a wake-up call for every organization—and it should prompt compliance officers to closely scrutinize the third party vendors they do business with. ...more

The Use of the Exit Interview in Compliance

Blackie Sherrod died last week. To any reader of sports pages across the nation and most particularly in Texas, Sherrod was about as good as it got. For me, he was right up there with Red Smith, Frank DeFord and Shirley...more

Notions de secret professionnel dans un monde des affaires mondialisé

Dans notre monde des affaires désormais mondialisé, nombreuses sont les contraintes d’ordre juridique, dépassant le strict cadre national, qui sont depuis longtemps maîtrisées par les acteurs économiques, que ce soit, par...more

SEC brings first cybersecurity-related enforcement action

The Securities and Exchange Commission (“SEC”) recently settled its first cybersecurity-related enforcement action against a Missouri based registered investment adviser, R.T. Jones Capital Equities Management, Inc. (the ...more

TN Ethics Opinion Approves Lawyers’ Cloud Storage of Client Data

Tennessee has joined other states in formally approving lawyers’ cloud-storage of client-confidential data. The Board of Professional Responsibility (“BOPR”) held that lawyers ethically may use cloud storage for...more

Corporate Investigations & White Collar Defense - September 2015

No Dog Days of August for the SEC—A Recap of a Busy Month - Why it matters: Who says there is a government slowdown in August? Not for the SEC. August 2015 turned out to be very busy indeed for the agency, which...more

The Health Law Guide to Hospital Operations

This operations guide provides a brief look at health law issues hospitals deal with on a daily basis. While a detailed coverage of the elements, drafting, implementation and continued governance of a hospital compliance...more

Don't Fumble Your HIPAA Obligations: Ensure Your HIPAA Playbook Implements Appropriate Protections for Patients

The injuries suffered by a professional football player brought the Health Insurance Portability and Accountability Act of 1996 and its implementing regulations ("HIPAA") onto center stage of the media during the days...more

Whistleblowing: An Employer’s Guide To Global Compliance

In This Issue: - Foreword - A Summary Across Five Continents - Law and Sanctions - The Legislative Framework: Whistleblower Protections Across the Globe - Global Differences: The Cultural...more

Never Tick Off a Redbird

At a Press Conference today, Satan officially announced that Hell has frozen over. He made this stunning announcement after the New York Times (NYT) reported that the baseball team with the most World Series wins in the...more

Are Antitrust Compliance Programs Protected by Attorney-Client Privilege?

We’ve previously written about the components of effective antitrust compliance programs and the potential benefits corporations may achieve by adopting them. In drafting compliance programs, however, corporations should be...more

The Financial Report - Volume 3, No. 11 • June 5, 2014 (Global)

Discussion and Analysis - FINRA recently simplified two rules that are critical in the public offering process. FINRA’s Corporate Financing Rule generally regulates underwriting compensation and prohibits unfair...more

Evolving International Regulations on Client Data Put More Pressure on Accounting Firms

The world may be getting smaller, but the number of ways various countries approach confidentiality is growing. A mosaic of disparate regulations should give any auditor or accountant pause when providing services for clients...more

Confidentiality and Title IX

In OCR’s April 2011 Dear Colleague Letter, OCR referenced a covered institution’s obligations in the face of knowledge of sexual harassment/misconduct and a victim’s request for confidentiality and/or that the institution not...more

Employment Flash - February 2014

In This Issue: - US Supreme Court Rules on Donning and Doffing Issue - NLRB Judge Invalidates Arbitration Agreement Without Class Action Waiver - Second Circuit Rules on Single Employer Liability Under the WARN...more

2014 Trends: #5 Top Ten Privacy and Related Ethics & Compliance Issues

Trend number 5 is on the docket today as we move down our list of ethics and compliance trends to watch in 2014. Privacy issues have led the headlines for years but their intersection with ethics and compliance is coming to...more

Privacy and Security Alert: January 9th, 2014

On December 5, 2013, the Office of Inspector General (OIG) reported on the Office for Civil Rights’ (OCR) compliance as of May 2011 with oversight and enforcement of the Security Rule and compliance with federal cybersecurity...more

Recent Australian Privacy Reforms Will Significantly Impact Offshore Share Incentives For Australian Employees

The changes to the Privacy Act 1988 (Cth), including the introduction of the new Australian Privacy Principles (APPs), significantly increase the obligations imposed on an offshore parent or related entity that collects or...more

Top 10 Topics for Directors in 2014

Top 10 Topics for Directors in 2014 - U.S. public companies face a host of challenges as they enter 2014. Here is our list of hot topics for the boardroom in the coming year: 1. Oversee strategic planning amid...more

The False Claims Act is Not a License to Divulge Employer Confidences

Health care employers concerned that former employees may misappropriate the company’s confidential information to support qui tam lawsuits under the False Claims Act (“FCA”) received guidance from a recent court decision. ...more

Compliance Communicator: September 2013

Memo to Managers - Social Networking in the Workplace - More than 75 percent of American workers use some form of social networking*, and that number is likely to increase. And it’s not just younger workers who...more

Key Considerations: Using Social Media to Promote Ethical Practices

NAVEX Global and PwC recently sponsored a groundbreaking study from the Ethics Resource Center around Social Networking in the workplace. There was a lot covered in the study, so we’ve put the results in context for ethics...more

CFPB Issues FDCPA and UDAAP Guidance for Creditors and Their Service Providers

On July 10, 2013, the Consumer Financial Protection Bureau (CFPB) issued two Bulletins that address debt collection practices. The first Bulletin, CFPB Bulletin 2013-07, discusses acts or practices that could potentially...more

Managing Peer Review Investigations: How to Avoid Hearings and Litigation

In this presentation: - Provide recommendations regarding best practices, bylaw provisions and other strategies to address and resolve quality and peer review issues without resorting to “investigations” and...more

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