Policies and Procedures

News & Analysis as of

Credit Reporting Remains a High Priority for the CFPB

The CFPB confirmed credit reporting remains a high priority for the agency by issuing a special Supervisory Highlights devoted to credit reporting earlier this month. The report was generally complimentary of the strides...more

New Guidance on Disclosure Exceptions for Investigations and Fraud

On March 17, 2017, the Office of the Privacy Commissioner of Canada (OPC) published guidance on two new exceptions in PIPEDA permitting disclosure without consent. The guidance is very helpful to interpreting these new...more

BRN Sunset Report Criticizes Enforcement Process, Treatment of Nurse-Midwives

The California Board of Registered Nursing (BRN) received a negative evaluation of its enforcement program in the most recent sunset review. The sunset review included a performance audit by the California State Auditor due...more

Corporate Compliance Programs: US and UK Perspectives

In today’s regulatory environment, companies face mounting pressure from law enforcement agencies to maintain robust compliance programs to deter and detect misconduct by employees, third-party vendors and business partners....more

Fresh developments in regulations on private schools

As a breakthrough in the education area, the Amendment to the Law of Promoting Privately Run Schools has categorized private schools into for-profit ones and non-for-profit ones, and stipulates that private schools for...more

Justice Department Reveals How It Evaluates Corporate Compliance Programs

The U.S. Department of Justice (DOJ) Fraud Section recently published its "Evaluation of Corporate Compliance Programs" that lists 1) the topics it explores and 2) the questions it asks when it assesses the effectiveness of a...more

Operationalizing Compliance – Natural Partners and Breaking Down Walls (Part I of IV)

An effective compliance program is built on internal coordination and relationships. Applying the Justice Department’s terminology, an effective compliance program is one that is operationalized. At first glance, you may...more

SEC Staff Issues Guidance Update and Investor Bulletin on “Robo-Advisers”

The staff of the Division of Investment Management (Staff) of the U.S. Securities and Exchange Commission (SEC) published a Guidance Update (Guidance) on February 23, 2017, on the subject of automated investment advisers...more

HIPAA Checkup – How Good Are Your Policies and Procedures?

Although it is not a new requirement, it is important and therefore worth a reminder: HIPAA requires covered entities to establish and implement written policies and procedures that are consistent with its Privacy and...more

Automated Vehicles Will Revolutionize the Automotive Industry

A renaissance of epic proportion is quietly underway in the United States, where 4,000-pound objects will soon be motoring alongside us on freeways, through intersections, crosswalks, and school zones without a driver. Ground...more

Great Expectations - DOJ holds anti-corruption compliance programs to a high standard in evaluating their credibility

On February 8, 2017, the U.S. Department of Justice (DOJ) released a list of important topics and sample questions that the Criminal Division’s Fraud Section has frequently found relevant in evaluating the adequacy of a...more

The Customer Is (Not) Always Right: An Employer's Duty to Protect

Everyone is entitled to their opinion, and in this political climate, it seems as though more people are comfortable voicing those opinions, even if they may offend someone. Although free speech is a primary pillar of...more

Compliance and Private Equity: An Oxymoron?

We all enjoy an oxymoron, e.g., army intelligence, compassionate conservative. Some words go together and some do not. When it comes to compliance and private equity companies, you can predict with usual success that private...more

DOJ Issues New Guidance on the Evaluation of Corporate Compliance Programs in Federal Fraud Investigations

On February 8th, the U.S. Department of Justice (DOJ) quietly issued new guidance on how the agency evaluates corporate compliance programs during fraud investigations. The guidance, published on the agency’s website as the...more

Update on California’s End of Life Option Act

In June 2016, California became the fifth state to enact an aid-in-dying law. California’s End of Life Option Act (the “Act”) authorizes an adult who is suffering from a terminal disease and meets other qualifications to...more

Auto Dealership Liability for Accidents Occurring During Test Drives: How to Protect Your Dealership

Prospective car buyers are no different than the drivers we encounter daily on the road: some are skilled, some are not so skilled. Add to that the prospective buyer’s unfamiliarity with the vehicle they are test-driving,...more

Avoid Paying The Piper: Tune Your Startup to Avoid Harassment Claims

Seyfarth Synopsis: Heeding some lessons from HBO’s “Silicon Valley” can help employers avoid mistakes related to potential hostile work environments and discrimination that might occur in a startup environment. In a...more

CMS Begins Enforcement of New State Surveyors Requirement-Resident Abuse through Photography

On August 5, 2016 CMS issued new guidance advising survey teams to request and review facility policies and procedures that prohibit staff from taking, keeping and/or distributing photographs and recordings that demean or...more

Department of Justice Fraud Section Provides Guidance on Evaluating Corporate Compliance Programs

On February 8, 2017, the United States Department of Justice ("DOJ") Fraud Section published a blueprint for assessing corporate compliance efforts, titled "Evaluation of Corporate Compliance Programs" ("Guidance"). It...more

And the winner, uhhh….

Everyone else is writing about it, so we may as well discuss it, too. Unless you’ve been living in a cave, by now you are well familiar with the enormous gaffe at the end of the Oscars on Sunday night. For those of you...more

DOJ’s Compliance Program Evaluation: Risk Assessment, Policies and Procedures and Third-Party Risk Management (Part III of IV)

To design and implement an effective ethics and compliance program, companies have to conduct a risk assessment and tailor its policies and programs to its risk profile. DOJ’s Compliance Evaluation reinforces this framework...more

Insight from the DOJ Fraud Section

Without fanfare, on February 8 the Fraud Section of the Department of Justice (DOJ) published new corporate compliance guidance on its public website. The guidance is presented as a set of topics and questions, entitled...more

New Guidance from the DOJ on Your Compliance Program

The U.S. Department of Justice (DOJ), Criminal Division, Fraud Section, recently released new guidance associated with its Guide to the U.S. Foreign Corrupt Practices Act. The guidance, entitled Evaluation of Corporate...more

Maryland Issues Revised Proposed Rules for Servicing Transfers

The Maryland Commissioner of Financial Regulation recently issued a revised proposed regulation impacting servicing transfers. The Commissioner previously issued proposed regulations on this topic in January 2015. This...more

Ten tips for successful workplace investigations

Navigating the complexities of workplace investigations can be challenging and stressful for employers. However, as all employers will receive complaints at some point in time, it’s important to know what to do (and not do)...more

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