Enforcement

News & Analysis as of

U.K. Modern Slavery Act: New Disclosure Requirements for Companies Operating in the United Kingdom

Companies that do business in the United Kingdom should assess their exposure to the U.K. Modern Slavery Act, which goes into effect this October. The transparency provisions of the Act are applicable to companies that do any...more

Changes to Obligations for Filing H-1B Amendment Petitions Under Matter of Simeio Solutions, LLC

As of August 19, 2015, full enforcement of a recent Administrative Appeals Office (AAO) decision in Matter of Simeio Solutions, LLC, 26 I&N Dec. 542 (AAO 2015) will commence. On April 9, 2015, the AAO—the appellate body...more

August 2015 Update on Significant DOT, FAA and Other Federal Agencies’ Aviation-Related Regulatory Actions

This edition of the Cozen O’Connor Aviation Regulatory Update discusses DOT’s launch of an investigation of alleged price gouging by airlines following Amtrak train service disruption in the Northeast Corridor, the agency’s...more

The Electrician Is An Independent Contractor; The Uber Driver Isn’t

When I talk to businesspeople about the legal differences between employees and independent contractors, I often offer the electrician who comes to the office to fix a wiring problem as the paradigmatic independent...more

Key Take-Aways From the FTC’s New Section 5 Statement

The Federal Trade Commission’s New Section 5 Statement Preserves the Agency’s “Doctrinal Flexibility” but Fails to Provide Meaningful Concrete Guidance - On August 13, 2015, the Federal Trade Commission (FTC) released...more

Give & Take: The Case for a Better G&E Compliance Program

Part One: Setting The Foundation - Why Does G&E Matter? Tony Robbins once said, “Every problem is a gift—without problems we would not grow.” In the compliance arena, the reverse also applies, as many gifts can...more

Cash Businesses, Poor Records and Obstruction Charges, Ouch!

Cash business operators are often prone to under report income or overstate deductions when filing tax returns. The effect of engaging in such conduct can be criminal charges, including tax evasion, money laundering and...more

New Citywide Construction Fraud Task Force Promises Tough Enforcement

On August 5th, the Manhattan District Attorney (the "DA’s Office") announced the formation of a multi-agency Citywide Construction Fraud Task Force that will be spearheaded by prosecutors from the office. Its mission is...more

DOJ Quietly Revises FCPA Resource Guide

Revisions bring DOJ and SEC guidance in line with FCPA statutory language. In June, the US Department of Justice (DOJ) and Securities and Exchange Commission (SEC) quietly revised its manual, A Resource Guide to the U.S....more

SEC Commissioner Gallagher On Dodd-Frank and Staff Divisions

SEC Commissioner Daniel Gallagher provided something of a score card for activities over the past five years he has served on the agency prior to his impending departure. To the surprise of few he panned the Dodd-Frank and...more

The New Age of Water Regulation—Who Will Float to the Top?

Water is on everyone’s minds, from the Central Valley farmer to the suburban gardener, from the Kern County oil driller to the Central Coast retiree. We’ve reached the inevitable point where there just isn’t enough to go...more

SEC Chair Attempts to Reassure Compliance Officers That They Will Not Be Targeted

Demonstrating the effect recent enforcement efforts have had on the industry, in remarks given in Washington, DC at a Compliance Outreach Program for broker-dealers, Securities and Exchange Commission Chairman Mary Jo White...more

Oregon Amends Data Breach Law — Companies Can Expect More Enforcement Actions

Oregon Gov. Kate Brown recently signed into law amendments to the state’s data breach law. These amendments recognize the growing definition of data, expand the role of the Attorney General in addressing data breaches,...more

Canada’s New Extractive Sector Transparency Measures Act and its Implications for Companies Subject to the U.S. Foreign Corrupt...

On June 1, 2015, Canada’s Extractive Sector Transparency Measures Act (“ESTMA” or “the Act”) came into force. Approved in December 2014, but not in force until this month, the Act requires companies in the extractive sector...more

Looming Pay Hikes, Unions and Enforcement: A Primer on LA’s Increased Minimum Hotel Wage

Major metropolitan areas throughout the country have planned minimum wage increases to be implemented over the next few years. On June 3, 2015, Los Angeles joined a growing list of cities that includes San Francisco, Oakland,...more

Employers to Focus on Conducting TB Risk Assessments Following New OSHA Directive

On July 13, 2015, the Occupational Safety and Health Administration (OSHA) issued an enforcement directive, Enforcement Procedures and Scheduling for Occupational Exposure to Tuberculosis (CPL 02-02-078) (2015 Directive),...more

Don’t Get Personal

Xilinx, Inc. v. Papst Licensing GMBH & Co. KG (Judge Lucy Koh) (July 9, 2015) - The Supreme Court’s 2014 ruling in Daimler v. Bauman raised the bar to establish personal jurisdiction over a defendant. Daimler has made it...more

Open Internet Advisory Opinions: Do You Feel Lucky?

As part of the 2015 Open Internet Order (“Order”), the FCC adopted rules enabling regulated entities to seek advisory opinions from the Enforcement Bureau regarding the application of the Open Internet rules to proposed...more

DOL Fires Across the Bow of Businesses Underway With Independent Contractor Manpower

Employee classification issues have been a recurrent topic of ours, and with all the class action litigation arising from independent contractor and other classifications, we have had no shortage of opportunities to remind...more

FERC Staff Notice of Alleged Violations Accuses Columbia Gas of Failing to Publicly Post Notices of Auctions

On July 16, 2015, the Federal Energy Regulatory Commission (FERC) issued a staff notice of alleged violations (“Notice”) stating that its Office of Enforcement has preliminarily determined, in a nonpublic investigation, that...more

DOL to Employers: 'Most' Independent Contractors Are Unlawfully Misclassified, and We Are Ready to Prosecute Violators

The United States Department of Labor (DOL) has just issued its first “Administrator’s Interpretation” of 2015 (“Memo”). Although the Memo’s stated purpose is to “be helpful” for employers – ostensibly by providing them with...more

Deputy Director Antonakes to leave CFPB

According to the American Banker and Politico, Deputy Director Steven Antonakes is leaving the CFPB to pursue opportunities in Massachusetts, his home state. Mr. Antonakes, the CFPB’s second-in-command, has been with the...more

Financial Services Weekly News Roundup - July 2015 #3

Regulatory Developments - CFPB Outlines Guiding Principles for Faster Payment Networks: On July 9, the CFPB released an outline of its guiding Consumer Protection Principles (Principles) for protecting consumers as...more

The U.S. Chamber On SEC Enforcement

The U.S. Chamber of Commerce published a report regarding the enforcement practices of the SEC titled “Examining U.S. Securities and Exchange Commission Enforcement: Recommendations on Current Processes and Practices, July...more

The CFPB and the Business of Insurance: An Analysis of the Scope of CFPB’s Authority Over Insurance Sales

In 2014, the Bureau of Consumer financial Protection (CFPB) issued an enforcement order against a bank and its service provider for allegedly misleading sales of insurance. That order was based on the CFPB’s power to prohibit...more

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