Policies and Procedures

News & Analysis as of

Conflicts of Interest: When You're Having Too Much Fun at That Business Lunch

How should fund directors monitor gifts and entertainment received by investment adviser personnel? This question moved to the forefront in February, when the Securities and Exchange Commission’s Division of Investment...more

FCC Ruling Addresses Robocalls by Health Care Providers

Mintz Levin’s Communications Practice recently released a Communications Advisory discussing a Declaratory Ruling and Order released by the Federal Communications Commission (FCC). The ruling clarified and expanded the reach...more

Smartphones & Smart Employers: Device Policies Enable Businesses To Safely Embrace Technology

Employers who don’t think they need a bring-your-own-device policy should consider this: Nearly 70 percent of millennials and 31 percent of baby boomers surveyed last year by TrackVia admitted to using their own devices and...more

EEOC Decision: Title VII Protects Employees' Sexual Orientation

The EEOC’s Decision - On July 18, 2015, the Equal Employment Opportunity Commission (EEOC) decided that Title VII’s prohibition on sex discrimination extends to discrimination based on an individual’s sexual orientation....more

With No Federal Law in Sight, States Continue to Refine Their Own Data Privacy Laws

With no Congressional consensus to adopt a federal data privacy and breach notification statute, states are updating and refining their already-existing laws to enact more stringent requirements for companies. Two states...more

You Can’t Just WISPer – Employers Must Publish or Display Security Policies

WISP is the acronym for Written Information Security Policy. The information at issue is an individual’s personal information and identifiers, such as a Social Security number, driver’s license number, credit or debit card...more

Is Sexual Orientation Now a Protected Class?

In our June 26 alert regarding the U.S. Supreme Court's same-sex marriage decision in Obergefell v. Hodges, we said we would continue to keep you posted regarding new developments in this area of the law. Some of you may...more

EEOC Uses its Record Keeping Requirements to Police Use of Criminal Background Checks

We don't think about personnel files – we just have them. Everything from employment applications to benefits enrollment forms to discipline and discharge documents goes into those files. But did you know that the EEOC...more

Legal Issues Business Leaders Need to Know in 2015: Top 10 Checklist

A compilation of time-sensitive and trending legal and regulatory issues that general counsels and business leaders should be aware of in 2015. Employers Should be Aware of Multigenerational Workforce Risk - For...more

SEC Enforcement Action Signifies the Need for Investment Advisers to Adopt Written Expense Allocation Policies

On June 29, the Securities and Exchange Commission charged Kohlberg Kravis Roberts & Co. (KKR) with violations of Sections 206(2) and 206(4) of the Investment Advisers Act of 1940, as amended, and Rule 206(4)-7 thereunder for...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

FINRA Proposes Changes to the Reporting Requirements for TRACE-Eligible Securities

On July 2, the Financial Industry Regulatory Authority proposed to amend FINRA Rule 6730 (Transaction Reporting) to require member firms to report transactions in eligible securities that are subject to dissemination to the...more

Last-Minute Amendments to California’s Sick Leave Law

Employers should review the amendments, which address some of the challenges for implementing the sick leave law that took effect July 1. After extensive legislative negotiation, the California State Legislature passed...more

New Whitepaper: Reasonable Steps to Protect Trade Secrets

Every company has trade secrets (so-called “crown jewels”)– confidential business and technical information – that if exposed, could result in lost sales, competitive advantage or the ability to further innovate....more

Update: California Enacts Urgent Clarifications to California Paid Sick Leave Law

While employers throughout the state have struggled with the new requirements set out by the Paid Sick Leave Law that took effect July 1, 2015, new amendments to the law attempt to provide some clarification. On July 13,...more

Employment Law - July 2015

The Impact of National Same-Sex Marriage for Employers - Why it matters: How will employers feel the impact of the U.S. Supreme Court’s decision in Obergefell v. Hodges? The landmark ruling that the Fourteenth...more

The Top 10 Priorities For Your Information Governance Program

The title, of course, begs the question: does your business even have an Information Governance Program? If not, you should get one—quick. An integrated Information Governance Program is considered a “best practice” to...more

Can I Pay with a Card? – Proposed Restrictions on NY Employers’ Use of Payroll Cards

Payroll cards (i.e., debit cards onto which employee wages can be loaded) provide an alternative to more traditional forms of wage payment such as paper checks or direct deposit. Payroll card programs can offer cost-saving...more

OCR Enforcement Trends

On April 27, 2015, the U.S. Department of Health and Human Services (HHS) Office for Civil Rights (OCR) announced a resolution agreement with Cornell Prescription Pharmacy (CPP) pursuant to which CPP paid a $125,000...more

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

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