Policies and Procedures

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DOT Issues Scathing Internal Report of NHTSA’s Defect Investigation Processes

In the wake of GM’s ignition-switch, the Secretary of Transportation, Anthony R. Foxx, directed an investigation into NHTSA’s defect investigation policies and procedures. Specifically, Secretary Foxx requested that the U.S....more

The ERISA Litigation Newsletter - June 2015

Editor's Overview - In this month's newsletter, Anthony Cacace analyzes the heavily anticipated Supreme Court ruling in Tibble v. Edison Intl., 135 S. Ct. 1823 (2015), where the Court held that ERISA's fiduciary duty of...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

SEC Commissioner Gallagher: Guidance is Needed For IA CCOs

SEC Commissioner Daniel Gallagher published a statement explaining his dissent in two recent enforcement actions in which the Chief Compliance Officer of an investment adviser was charged, noting that the trend in such...more

Top Three Cybersecurity Misconceptions [Video]

Cybersecurity is an issue that should be top-of-mind for all companies. But there are three misconceptions about cybersecurity that can put companies at significant risk. In this video, Foley Partner Michael Overly discusses...more

So a Woman and a Kangaroo Walk into A Bar

On this blog we’ve explored the laws related to service animals and how the ADA’s regulations extend their use far past traditional notions of “seeing eye dogs.” In Wisconsin (admit it, you assumed this blog post was going to...more

Employers: 9 Provisions You Need in a Whistleblower Policy

A potential whistleblower need only run a quick Internet search to find many attorneys ready to take his or her case. Knowing this, employers need to be proactive: Any employer handbook or policy and procedures manual should...more

SEC Division of Investment Management Cautions Advisers on Acceptance of Gifts and Entertainment

Fund compliance policies and procedures should address the receipt of gifts or entertainment by fund advisory personnel, according to guidance published by the SEC’s Division of Investment Management....more

Delivery Driver Loses Harassment Claim for Failing to Follow Complaint Procedure

It's important for employees to follow company policy, but it's even more important for employers to have those policies in the first place. In this case, the Fifth Circuit dealt a harsh blow to an employee who complained,...more

Texas court rules disabled employees must ask for accommodations

What’s an employer to do when a disabled employee has repeated opportunities to ask for an accommodation but doesn’t act on them? In a recent case, a federal court in Texas ruled that the employer was justifiable in...more

2015 Trends: #9 Technology-enabled ethics and compliance is ready for takeoff

By every indication we are about to witness a dramatic leap in technology-enabled ethics and compliance. Tech Advancement in Key E&C Areas - Trends and our own client experiences are demonstrating that we are...more

Alert: Five Ways to Reduce Your HIPAA Liability

As of early December 2014, 1,170 security breaches under the Health Insurance Portability and Accountability Act (HIPAA) involving 31 million records had been reported to the U.S. Department of Health and Human Services (HHS)...more

This Week In Securities Litigation

The SEC named ratings giant Standard & Poor’s in three actions this week and one of its senior executives in another. The firm settled all three actions, admitting to a series of facts but not violations of the law in one...more

How to Pass the SEC’s Cybersecurity Test in 9 Steps

Cybersecurity again looks to feature prominently on 2015’s regulatory agenda. So far this year, the Financial Industry Regulatory Authority and the SEC’s Office of Compliance Inspections and Examinations (OCIE) have announced...more

Significant Changes to Michigan FOIA Laws Coming In July

Michigan governmental entities will face significant new regulations on how they charge for responses to Freedom of Information Act (FOIA) requests beginning July 1, 2015. ...more

OHCQ Mandates Submission of Policies on Resident Access to Medical Records

Maryland nursing homes must submit their policies and procedures for resident access to and requests for medical records to the Maryland Department of Health and Mental Hygiene's Office of Health Care Quality (OHCQ) by...more

IRS Releases Final Regulations on Requirements for Tax-Exempt Hospitals Under Section 501(r)

On December 29, 2014, final regulations were released under Internal Revenue Code section 501(r). Enacted as part of the Patient Protection and Affordable Care Act in 2010 (the “ACA”), section 501(r) requires tax-exempt...more

OIG updated work plan includes evaluations of CFPB enforcement-related processes and procedures

The Office of Inspector General’s (OIG) work plan, updated as of November 7, 2014, indicates that the OIG’s ongoing projects include audits of the CFPB’s information security program, pay and compensation program,...more

Policy Management FAQs: Top 10 Questions from the Policy Bootcamp Webinar Series Answered

NAVEX Global recently hosted a three-part webinar series on how to take a step-by-step approach to rethinking, implementing and overseeing your policy management life cycle. Webinar attendees asked a number of valuable...more

Gavel to Gavel: Creative compliance

More and more community banks feel the increasing pressures of growing regulatory compliance requirements. To meet those requirements, many banks are turning to creative solutions, ranging from outsourcing compliance...more

Employers: How Prepared Are You for Ebola?

Rapidly changing circumstances raise workplace questions. The Ebola epidemic in 2014 has already been confirmed by the U.S. Centers for Disease Control (CDC) as the worst in history. The extent of this outbreak is...more

OCC Revises Process for Managing Matters Requiring Attention

The Office of the Comptroller of the Currency (OCC) on October 30 published revised policy and procedures for how it manages Matters Requiring Attention (MRAs) resulting from its examination of supervised institutions. MRAs...more

Investigating Employee Wrongdoing

Companies in every industry—private and public—struggle with the difficult task of promptly identifying employee wrongdoing and responding appropriately. The National Football League continues to be embroiled in a controversy...more

Brand Standards Are for Everyone

Now more than ever, it is important to understand brand standards: why they are set; how they affect franchisors, franchisees, and customers; and what the boundaries of brand enforcement policies should be....more

2014-15 Compliance Developments & Calendar for Private Fund Advisers

Introduction - Registered investment advisers are required to review their policies and procedures on at least an annual basis. As aid to the required review, below is a summary of material developments during the past...more

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