Policies and Procedures

News & Analysis as of

SEC's Focus on Private Equity Firms Continues with Recent Action

A settled enforcement action, announced by the U.S. Securities and Exchange Commission (SEC) on September 14, 2016, continues the trend of increased SEC scrutiny of private equity advisers concerning the allocation and...more

California Debt Limit Allocation Committee Releases Proposed Regulations

This client alert discusses some of the more significant changes that could affect issuers and borrowers in connection with awards of volume cap if the proposed regulations were adopted in their current form. The...more

Ten Things to Know About the CMS Long-Term Care Requirements Final Rule

Deadlines are looming to come into compliance with sweeping changes to the Centers for Medicare & Medicaid Services (CMS) requirements for long-term care facilities (LTC) participating in Medicare and Medicaid. The CMS final...more

The New York State Department of Financial Services Proposes Robust Cybersecurity Rules

On September 13, 2016, the New York State Department of Financial Services (DFS) proposed new rules that would require certain “Covered Entities” to establish and implement cybersecurity programs designed to protect nonpublic...more

New York's New Cybersecurity Rules: What Is Required?

The new cybersecurity rules proposed by the New York State Department of Financial Services require financial services institutions to have extensive cybersecurity protections in place; including cybersecurity programs,...more

OCR Decides Lack of Procedural Protections for Accused Students Violates Title IX

After years of decisions in which the U.S. Department of Education’s Office for Civil Rights (OCR) criticized colleges' and universities' handling of claims filed by individuals alleging sexual assault on campus, OCR now...more

Avoid Uber-Liability By Restricting Ridesharing Services On Campus

It’s 4:30 p.m., school soccer practice has just ended, and 11-year old Cynthia calls her mom to pick her up at school. Her mom tells Cynthia that she is busy at work but has requested an Uber to pick her up. Just as she gets...more

HIPAA Compliance – Not Just an Issue for Health Care Providers

Many people believe that compliance with the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”) is solely an issue for health care providers and their affiliates. However, nothing could be further from the...more

Donations and Grants in China: Compliance Controls Beyond T&E

While travel and entertainment expenses have presented significant compliance challenges for life sciences companies operating in China, donations and grants can also pose notable compliance risks. China’s escalated...more

Have a Management Rights Clause? It May Not Save You from Bargaining with the Union

Many union employers insist on strong management clauses in their labor agreements. Such clauses contain language reserving for the employer the right to adopt new rules and regulations. A reasonable employer may assume that...more

Match Made in Heaven: Compliance and Human Resources

The corporate compliance function is only as successful as its partnerships with key internal constituencies. Depending on the company and the personnel involved, compliance has to establish and maintain effective working...more

EEOC Task Force Offers Expansive Recommendations for Updating Anti-Harassment Policies and Training

This summer, the Equal Employment Opportunity Commission (“EEOC”) issued a 127-page document titled “Report of the Co-Chairs of the EEOC Select Task Force on the Study of Harassment in the Workplace” (“Report”). Among other...more

Getting Your Act Together – B.C. & Alberta Triennial Pension Assessments

In November 2008, the Alberta/British Columbia Joint Expert Panel on Pension Standards (JEPPS) released its report on pension standards in the two provinces. The report, Getting Our Acts Together, encouraged the two...more

Electronic Discovery Preparedness Audit Handbook

While your organization may not regularly be involved in costly or complicated litigation, there are instances in which it may nonetheless be required to identify, collect, and produce documents most likely in the form of...more

Survey Shows Employees Top Security Risk for Companies

A recent survey conducted by Arlington Research for OneLogin in May 2016 of 1,022 respondents found what most of us already know: employees continue to be a high risk for employers when it comes to security risk. The...more

CFPB builds case for ECOA protection for gender identity and sexual orientation

While CFPB officials have suggested in public remarks that the Equal Credit Opportunity Act’s prohibition against discrimination on the basis of “sex” includes discrimination based on gender identity and sexual orientation, a...more

The rules are the rules are the rules

While I went to law school for a law degree and stayed an extra year to get a tax LLM degree, my feelings about the law is as simple as: “the rules are the rules are the rules.” Maybe it’s my stubbornness, but I believe that...more

An Aging America and the Future of Paid Family Leave

Seyfarth Synopsis: Recent research suggests employers will manage an increasing number of employee requests for caregiving leave. The U.S. Department of Labor’s Chief Evaluation Office has issued research briefs...more

Hallmark 9 – Continuous Improvement: Periodic Testing and Review

You should keep track of external and internal events which may cause change to business process, policies and procedures. Some examples are new laws applicable to your business organization and internal events which drive...more

CMS Issues Guidance on Privacy Concerns at Nursing Homes

Earlier this month, CMS issued guidance regarding privacy concerns in nursing homes. In a letter entitled “Protecting Resident Privacy and Prohibiting Mental Abuse Related to Photographs and Audio/Video Recordings by Nursing...more

Governmental Employers Take Note: Court of Appeals allows employee’s claim for violation of N.C. constitution to go forward

In Tully v. City of Wilmington, No. COA15-956 (N.C. Ct. App. Aug. 16, 2016), the Court of Appeals held for the first time in North Carolina that a governmental employee had alleged a valid property and liberty interest in...more

Navigating the DOL’s New Fiduciary Rules: A Game Plan for Broker-Dealers

This OnPoint focuses on the new and amended fiduciary investment advice regulations issued by the U.S. Department of Labor (DOL) and accompanying prohibited transaction exemptions (Final Rules), from the perspective of...more

Five Areas of Focus for the New CDD Rule

While regulators haven’t yet spelled how the new customer due diligence (CDD) requirements for financial institutions will be implemented, banks, credit unions, securities firms, money services businesses, and casinos should...more

Most Recent CFPB Supervisory Highlights Feature FCRA, LO Compensation and Debt Collection Issues

The Consumer Financial Protection Bureau’s most recent supervisory highlights publication featured issues relating to the Fair Credit Reporting Act, loan originator compensation and in-person debt collection that should be on...more

Hallmark 5-Communications and Training

I. Training - The communication of your anti-corruption compliance program is something that must be done on a regular basis to ensure its effectiveness. The FCPA Guidance explains, “Compliance policies cannot work...more

281 Results
View per page
Page: of 12
JD Supra Readers' Choice 2016 Awards

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.

Already signed up? Log in here

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.