Policies and Procedures

News & Analysis as of

E-Discovery — Setting standards, not cover

The Sedona Conference has a slogan: “Moving the law forward in a reasoned and just way”. That slogan is exactly the way I have described this impressive organization and what do....more

Trial Court Slips And Falls In Granting Motion For New Trial

On October 21, 2016, Florida’s Second DCA issued a decision in a slip-and-fall case against Wal-Mart that found the trial court erred when it set aside the jury verdict and granted Plaintiff’s motion for new trial on the...more

Managing Employee Interactions in the Wake of the Trump Election

You may have been able to keep politics away from the annual Thanksgiving gathering of relatives with diverging viewpoints, but the workplace requires daily interaction. What’s an employer to do with emotions still running...more

EEOC Issues Enforcement Guidance on National Origin Discrimination

On November 21, 2016, the U.S. Equal Employment Opportunity Commission (“EEOC”) issued enforcement guidance addressing national origin discrimination under Title VII of the Civil Rights Act of 1964 (“Title VII”). The EEOC...more

FINRA Fines Lincoln Financial Sub $650,000 For Cybersecurity Shortcomings

A Lincoln Financial Group subsidiary agreed to pay $650,000 to the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it failed to implement sufficient security policies to protect confidential...more

New York State Office of the Medicaid Inspector General Releases Guidance on Compliance Program Reviews

In the 1990s, as part of the Federal Sentencing Guidelines, the U.S. Sentencing Commission developed for the first time the criteria upon which it will view an organization’s compliance program to be “effective.” In October...more

Addressing Post-Election Tensions in the Workplace

As the extreme rhetoric of the 2016 presidential campaign slowly wanes, the divisions it exposed remain raw. Many Americans celebrate the election of President-elect Trump, while many others continue to express concern about...more

Guest Post – Tis Better to Try and Fail, Then to Have Never Tried At All: Internal Corporate Policies Do Not Create a Heightened...

What follows is a guest post by Cara DeCataldo, a Reed Smith associate, who gamely stepped up to the plate to research one of a number of blogging topics that have been hanging fire for some time now. This topic is a type of...more

Do You Know and Understand Your Compliance Policies?

My question appears to be fairly obvious, right? This is not a question or a quiz of every chief compliance officer. Rather, this is a question for everyone but the CCO and compliance and legal staff. Think about it....more

When Managing Whistleblower and Retaliation Risk, Tools are Important – Processes and People are Critical

One collection of terms I hear a lot is “tools, processes and people.” All three need to be successfully deployed to make a compliance program run properly while also creating an organizational culture that supports...more

Conflict Avoidance and Conflict Resolution Mistakes that Ruin Workplace Culture, Part II: Creating a Perception of Unfairness

In part one of this three-part series, we discussed a trap companies often fall into when it comes to avoiding and resolving conflict: failing to anticipate and plan for high-risk situations. Part two covers situations that...more

Embraer FCPA Enforcement Action – Part III

Today I continue my exploration of the recently announced Department of Justice (DOJ) and Securities and Exchange Commission (SEC) Foreign Corrupt Practices Act (FCPA) enforcement action with the announcement of the...more

Catching Up With the Times: CMS Reforms Long-Term Care Facility Requirements Part III

On October 4, the Centers for Medicare and Medicaid Services (CMS) published the biggest overhaul to federal long-term care regulations since 1991, and impacted facilities can immediately take steps to ensure they’re prepared...more

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

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