Policies and Procedures

News & Analysis as of

Tips for Preclearing Insider Trades

Insider trading policies are among the most detailed and confusing of all corporate polices. And though they are not required by any SEC or stock exchange rule, virtually every public company has one. Included in almost every...more

Mediation is About Cutting a Business Deal

Mediation is popular with business people and their counsel because it is a low risk process with a remarkably high success rate. It is far less expensive than trial since it usually takes only a day or two and avoids costly...more

Pokémon No! A Strategy Guide on Handling the Latest Smartphone Craze in the Workplace

Although Pokémon Go is only 21 days young, over 30 million users have downloaded and played the augmented reality game on their smartphones. In the latest release of the pocket monster franchise, your mission is to capture...more

San Diego City Council Amends Local Sick Pay Law

On July 26, the San Diego City Council ratified a minimum wage and sick pay ordinance approved by voters on June 7. Effective as of July 11, the ordinance imposes a citywide minimum wage rate and also obligates businesses to...more

Employee Embezzlement: 4 Tell-Tale Signs

Having started as a bookkeeper and worked his way (fifteen years later) to become controller of the Bunz in the Oven family owned business, Swendoll Hugh felt underpaid and under-appreciated by Bertha Bunz and her highly...more

Labor Alert: New LA ordinance requires 48 hours of paid sick leave per year for all employees

Los Angeles area employers are now required by law to provide their employees with even more paid sick time off. On June 2, 2016 the City of Los Angeles passed a new ordinance (Ordinance No. 184320) (the “Ordinance”)...more

Does Your Company Need a Pokémon Policy?

The latest craze is Pokémon Go, an app for smartphones that allows people to “catch” Pokémon creatures by integrating the real world with the virtual world. So what do you do if you see one of your employees wandering around...more

Harvey Specter on human resources

Season 6 of Suits aired on USA Network on July 13 with Mike Ross in prison, serving his two-year sentence as a consequence of working as an associate for one of Manhattan’s top law firms, despite not being an admitted...more

Collaboration Key to Combatting Cyber Threats: Federal Government Issues Final Guidance Clarifying Liability Protection for...

On June 15, the Department of Homeland Security (DHS) and the Department of Justice (DOJ) jointly issued final guidance on how the private sector and government will communicate cyber threat data and defensive measures under...more

The Countdown is On: The New OHSA Amendments Come into Force in Less Than 60 Days

As we previously reported, the amendments to the Occupational Health and Safety Act introduced by Ontario’s Sexual Violence and Harassment Legislation, An Act to amend various statutes with respect to sexual violence, sexual...more

New OHADA Uniform Act Streamlines Collective Insolvency Proceedings

Innovations to the Act in late 2015 seek to modernize and simplify collective proceedings in OHADA member states. On 10 September 2015 in Grand-Bassam (Republic of Côte d’Ivoire), the Organization for the Harmonization...more

Facility Policies Can Become a Basis for Assessing Civil Monetary Penalties

In Brenham Nursing & Rehab. Ctr. v. U.S. Dep't of Health & Human Servs., No. 15-60272, 2016 WL 454320 (5th Cir. Feb. 4, 2016), the United States Court of Appeals for the Fifth Circuit upheld a Final Agency Decision of the...more

Joint Commission Okays Texting of Patient Orders

The Joint Commission recently announced a change in its policies whereby it will now allow providers to communicate patient orders via text message. The policy applies to all Joint Commission accreditation programs. While the...more

Sex Harassment in the Workplace: An Uptick in Cases, Awareness or Both?

The last few weeks it seems that I’ve been reading about sexual harassment in the workplace issues a lot more. Here are a few examples...more

SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity and Transition Plans

On June 28, the Securities and Exchange Commission (SEC) proposed a new rule, Rule 206(4)-4 (the "Proposed Rule") under the Investment Advisers Act of 1940 (the "Advisers Act"), that would make it unlawful for an...more

Agencies announce submission of diversity self-assessments to OMWIs can begin

In a notice to be published in tomorrow’s Federal Register, the CFPB, OCC, Fed, FDIC, SEC, and NCUA announce that the Office of Management and Budget has approved the “information collection” contained in their “Final...more

Changes to the Open Meetings Act Allow Inspection of Closed Session Records

Effective June 30, 2016, the Open Meetings Act (OMA) has been amended to allow elected board members, or those appointed to fill vacancies on the board, to access closed session recordings and minutes. Access must be granted...more

The High Stakes Poker of Playing Fast and Loose with Federal Laws and Regulations Just Got More High Stakes: US Civil Penalties...

Though corporate compliance programs can be expensive, companies that fail to implement such programs are about to double down on their gamble as a result of a newly imposed increase in civil fines. Prior to this increase,...more

Third Party Administrator Update: TPA Regulatory and Legislative Developments

Polsinelli is pleased to share the June 2016 Third Party Administrator Newsletter. This newsletter covers topics throughout the year that impact TPAs. Information specific to Polsinelli's TPA practice is also included....more

To Enforce a Call-off Policy or Not to Enforce a Call-off Policy; that is the Question

Recently you’ve noticed that an employee takes FMLA-covered leave the same week every year or always seems to have a medical emergency between Thanksgiving and January 1. Similarly, another employee regularly calls out of...more

Conflicts Of Interest After the Yates Memorandum

As we continue to operate under the Yates Memorandum, a number of interesting and difficult issues are sure to develop surrounding internal investigations and individual culpability. Corporate internal investigations have to...more

Does Your Company Website Violate the ADA? Part 2-Top Ten Considerations for a Web Accessibility Policy

In Part I of this series, we discussed the uncertainty concerning whether the Americans with Disabilities Act (ADA) applies to websites of private businesses, and, if so, the specific requirements that would apply to...more

SEC Proposal Would Require Business Continuity and Transition Plans for Investment Advisers

Citing the ongoing risk of terrorist and cyber-attacks, the 2008 financial crisis, and Hurricanes Katrina and Sandy, the Securities and Exchange Commission (“SEC”) has issued proposed rules under the Investment Advisers Act...more

Considerations for Your Company’s Website Accessibility Policy

We previously discussed the uncertainty concerning whether the Americans with Disabilities Act (ADA) applies to websites of private businesses and, if so, the specific requirements that would apply. We noted that even if...more

Survey Says: Top Three Policy Management Challenges

Using data from our survey of over 1,000 respondents located all over the globe, we produced our 2016 Ethics & Compliance Policy Management Benchmark Report and webinar in May. During the webinar, Carrie Penman and I talked...more

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