Policies and Procedures

News & Analysis as of

Reducing the Risks of Pay Discrimination Claims: Employer Pay Equity Audits

With a proliferation of recent legislative changes and proposed regulatory changes, pay equity is going to be an issue for which employers need to prepare and face head on. Generally speaking, employers may be at risk for pay...more

Revised Illinois Special Education Regulations Go into Effect

The Illinois regulations related to special education were recently revised, effective January 13, 2016. Many of the changes clarify language or remove provisions specifically applicable to prior years. Additionally,...more

Another Day, Another Whistleblower Retaliation Suit

A False Claims Act (“FCA”) retaliation claim, 31 U.S.C. 3730(h), filed January 26, 2016 in federal district court in Oregon, provides a perfect example of the type of challenging cases confronting health care employers today....more

CFPB postpones field hearing on checking account access to Feb. 3

The CFPB has announced that due to inclement weather, it has postponed the field hearing about access to checking accounts until February 3, 2016. The hearing, which is to be held in Louisville, Kentucky, was originally...more

Learning from Schlumberger’s Mistakes: Doing Business Under Iran General License H

Lauren Connell, Managing Associate at The Volkov Law Group, rejoins us for a posting on sanctions compliance. Implementation Day has been hailed as a new stage in Iran-US relations. There has been significant media...more

Joining the Crowd: SEC Adopts Final Crowdfunding Regulations - Part III - Intermediaries

On October 30, the U.S. Securities and Exchange Commission (“SEC”) adopted final rules in the form of Regulation Crowdfunding to implement the securities-based crowdfunding exemption in Section 4(a)(6) of the Securities Act...more

The New Texas Two-Step: Construction Defect Litigation by Condominium Owners’ Associations

On June 17, 2015, Texas adopted amendments to the Texas Uniform Condominium Act by requiring condominium unit owners’ associations (“Association”) to take specified procedural steps prior to initiating a construction defect...more

SEC-IA Settle Disclosure Case

It is fundamental that investment professionals accurately disclose their polices and procedures and adhere to them. Yet an increasing number of proceedings are being brought by based on failing to follow to those procedures....more

Are You on Candid Camera? The NLRB Just Made It More Difficult to Ban the Use of Recording Devices in the Workplace

On December 24, 2015, the National Labor Relations Board (NLRB) issued a decision in Whole Foods Market, Inc., 363 NLRB No. 87 (Dec. 24, 2015), finding for the first time that it is unlawful for an employer to adopt a work...more

SEC Releases Guidance Following Distribution-in-Guise Sweep

The SEC has released guidance describing the steps that fund complexes and their boards can take to ensure that their funds are not paying for distribution from fund assets outside of a rule 12b-1 plan through the...more

Employers Should Take Care When Prohibiting Workplace Recordings

A number of years ago, one of the nation’s largest grocery stores banned its employees from recording workplace conversations, images, or meetings without prior management approval or consent by all parties to a conversation....more

‘Cannibal Cop’ Decision Restrains Employers

Second Circuit ruling on data theft creates more inconsistency regarding federal law’s reach. In December, a divided panel of the U.S. Court of Appeals for the Second Circuit in U.S. v. Valle interpreted the Computer...more

2016 Insurance and Risk Management Checklist

As we start a new year, there is no time like the present to evaluate your company’s insurance and risk management program and plan for the year. Here is a brief checklist of steps to take and things to consider as you move...more

"4th Antitrust Set" of amendments

On 5 October 2015 the President of the Russian Federation signed the Federal Law No. 275-FZ "On Amending the Federal Law "On Protection of Competition" and Other Legal Acts of the Russian Federation", so-called the "4th...more

Weak Compliance Programs Won’t Protect You from Criminal Misconduct

The Department of Justice’s (DOJ’s) Criminal Division has now hired “Compliance Counsel” but the Department has no plans to move towards making a formal compliance defense available to those charged with regulatory...more

NYDFS Letter: “Potential” Cybersecurity Regulations for Insurers

On November 9, 2015, the New York Department of Financial Services (NYDFS) issued a letter that describes what insurers can expect from the Department’s ongoing assessment of cybersecurity measures. The letter parallels...more

Best Practices: Keeping Corporate Communications Professional And Out Of The Courtroom

Corporate communications occur primarily electronically. It is important for companies to ensure these communications stay where they belong — within the company, not broadcast in a courtroom where a judge or jury can inject...more

Employment Law Update - November 2015

Coming Changes to Overtime Exemptions Rules Will Have Serious Impact on Employers - The Fair Labor Standards Act ("FLSA") requires that employees be paid minimum wage and overtime pay at a rate of not less than one and...more

FinCEN Proposes Anti-Money Laundering and Suspicious Reporting Rules for Registered Investment Advisers

On August 25, 2015, the US Treasury Department’s Financial Crimes Enforcement Network (FinCEN) proposed rules that would require registered investment advisers to adopt anti-money laundering (AML) programs and report...more

CFPB’s Message to Employment Background Screening Providers: A Rose by Any Other Middle Name is Probably the Wrong Person

On October 29, the CFPB took action against two of the country’s largest employment background screening report providers for violations of the FCRA. This is one of the CFPB’s most significant FCRA actions to date, following...more

Following the Wisdom of the Crowd? A Look at the SEC’s Final Crowdfunding Rules

In this alert, we provide a detailed overview of the final rules, Regulation Crowdfunding, which will be applicable to crowdfunding offerings conducted in reliance on Section 4(a)(6) of the Securities Act of 1933 as amended...more

New York State Adds Protected Classifications and Remedies for Workplace Discrimination

The new laws are designed to protect equality for female employees in New York State; Governor also proposes regulations that would extend protections to transgender employees. On October 21, New York Governor Andrew...more

New UK Regulations to Govern Whistleblowing in Financial Institutions

This month, the FCA and PRA announced a new regime for whistleblowing that will start to be phased in from March 2016. This is part of the broader desire on the part of the UK regulators to encourage individuals to raise...more

Recent MCDC Settlements Provide Guidance Concerning Scope of Materiality in Continuing Disclosure Obligations

In responding to the Securities and Exchange Commission’s recent Municipalities Continuing Disclosure Cooperation (MCDC) initiative, the unanswered question for many municipalities and broker-dealers was determining whether...more

New York Enacts Extensive New Protections for Women in the Workplace

On October 21, 2015, New York Governor Andrew Cuomo signed into law a series of bills that expands the state’s gender-based employment protections. The bills are part of a legislative package, known more commonly as the...more

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