Recordkeeping Requirements

News & Analysis as of

Electronic Self-Certification for Hardship Distributions is Not Sufficient

In its April 1, 2015 Employee Plans News, the IRS stated that defined contribution plan sponsors must maintain hardship distribution records and that plan sponsors cannot rely on electronic participant self-certification for...more

SEC Proposes Amendments to Form ADV and Performance Information Recordkeeping Requirements

On May 20, 2015, the Securities and Exchange Commission (SEC) released proposed amendments to Form ADV and Rule 204-2 under the Investment Advisers Act of 1940 (Advisers Act). The proposed amendments, if adopted, would...more

SEC Proposes Rules Affecting Funds and Advisers

Proposals would impose new disclosure requirements designed to enhance the SEC’s ability to monitor the industry. On May 20, the US Securities and Exchange Commission (SEC) unanimously approved proposals intended to...more

SEC Proposes Rules Imposing Additional Reporting and Recordkeeping Requirements for Investment Advisers

On May 20, 2015, the SEC announced proposals to modify and increase the amount of information that it collects from investment companies (“ICs”) and investment advisers (“IAs”) and to create new rules that impose additional...more

CFTC Proposes Relief from Trade Option Reporting and Recordkeeping Requirements for Commercial End Users

On April 30, 2015, the Commodity Futures Trading Commission (“CFTC”) approved for publication in the Federal Register proposed amendments to the trade option exemption (the “Proposal”) that would reduce reporting and...more

EPA’s Proposed Nano Rule: What Should You Be Doing Now?

On April 6, 2015, EPA published a long-awaited Proposed Rule imposing one-time electronic reporting and recordkeeping requirements on manufacturers and processors of certain nanoscale materials under Section 8(a) of the Toxic...more

EPA Embarks on First Major Rulemaking to Guide Regulation of Nanoscale Materials and Products

After almost a decade of study and input from stakeholders, the U.S. Environmental Protection Agency (“EPA”) has proposed first-time reporting requirements under the Toxic Substances Control Act (“TSCA”) for manufacturers,...more

Dodd-Frank Update: CFTC Proposes to Reduce Trade Option Obligations for End Users

On April 30, 2015, the Commodity Futures Trading Commission (“CFTC”) issued a notice of proposed rulemaking (“NOPR”) proposing to reduce certain reporting and recordkeeping requirements for end users. Notably, the NOPR...more

CFTC Issues No-Action Relief for SEF Confirmation and Recordkeeping Requirements and Confirmation Data Reporting Requirements

On August 14, 2014, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) granted no-action relief to swap execution facilities (SEFs) from the confirmation and recordkeeping requirements set forth in...more

FDIC Seeks Comment on Proposed Deposit Account Records Requirements for Large Banks

On April 21, the FDIC released an advanced notice of proposed rulemaking seeking comment on potential new recordkeeping standards for a limited number of FDIC-insured institutions with a large number of deposit accounts....more

Pensions News - March 2015

In This Issue: - Budget 2014 reforms - Budget 2015 - The Pensions Regulator - Legislation - DC Charges and Governance - Case Law - HMRC - Public Service Pension Schemes - Other News - On the...more

Pierce Atwood Environmental Regulatory Compliance Calendar (RCC)

Draft Integrated Science Assessment for Oxides of Nitrogen – Health Criteria - EPA has announced an extension of the public comment period for the second external review draft of a document titled, “Second External Draft...more

Pensions Alert UK: April 2015 reforms: Final regulations made

The introduction of the DC flexibilities announced in last year’s Budget is now only a matter of days away, and in recent weeks various sets of regulations have been made in final form which will come into force on 6 April...more

CME Updates Order Routing/Front-End Audit Trail Requirements

The CME Group Exchanges have updated their recordkeeping requirements for order routing/front-end systems connected to the CME Globex platform through CME iLink. These updates include: (1) clarifying the scope of requirements...more

Comments Due July 6 on Proposed Reporting and Recordkeeping Requirements for Nanoscale Materials

The U.S. Environmental Protection Agency’s (EPA) Toxic Substances Control Act (TSCA) Section 8(a) proposed rule concerning reporting and recordkeeping requirements for certain chemical substances when manufactured or...more

Documenting Your Gifts to Charity: Don’t Jeopardize Your Charitable Deduction

April 15th is fast approaching. This is the time of year when many of our clients ask us how to properly document charitable contributions. In several recent cases, donors have been denied all or a portion of their...more

TSCA: EPA Proposes Reporting and Recordkeeping Requirements for Nanoscale Materials

On March 25, 2015, the U.S. Environmental Protection Agency (EPA) issued a prepublication version of a Toxic Substances Control Act (TSCA) Section 8(a) proposed rule concerning reporting and recordkeeping requirements for...more

D.C. DOES Provides Additional Guidance On The D.C. Wage Theft Prevention Amendment Act And Reveals New “Zip Code” Program For D.C....

On Thursday, March 12, 2015, the District of Columbia Department of Employment Services (“DOES”) hosted its first Webinar regarding the D.C. Wage Theft Prevention Amendment Act (the “Act”), and its subsequent amendments. ...more

Employers’ Safety Records Will Soon Be a Click Away

Employers should be aware of a proposed OSHA recordkeeping rule that is expected to be issued as a final rule this year. The proposed rule requires employers to electronically report to OSHA data on serious workplace injuries...more

Nursing Home Lawsuits - The Need to Ensure Best Practices in Clinical Record Keeping

As more and more lawyers focus their attention on bringing claims against Skilled Nursing Facilities in the State of New York, we cannot underestimate the importance of ensuring best practices in clinical record keeping. ...more

D.C. Wage Theft Prevention Act Goes Live

On February 26, the District of Columbia’s new Wage Theft law became effective after a period for review by the U.S. Congress expired without any action being taken....more

OSHA’s Recordkeeping Rules Now Apply to Real Estate Industry Sectors

For the past 40 years, OSHA has required the majority of employers with ten (10) or more employees to maintain records of workplace illness, injury, or death. Those same employers are also required to post the annual summary...more

Adviser’s Principal Banned for False Statements of Eligibility, Failure to Maintain Records and Compliance Manual

A February SEC enforcement case provided a reminder to investment advisers of the importance of meticulous compliance with requirements regarding record retention and compliance manuals. In the orderi, the SEC settled an...more

OSHA Issues Controversial Procedures to Deal with New Reporting Requirements

As most employers are aware, OSHA’s new reporting requirements took effect January 1, 2015. Now, OSHA must be notified anytime there is a workplace fatality, an in-patient hospitalization, an amputation, or an eye loss. These...more

The District of Columbia Council Passes Its Own Wage Theft Prevention Amendment Act

The Council of the District of Columbia passed the Wage Theft Prevention Amendment Act (WTPAA) of 2014 which then mayor Vincent C. Gray signed in September 2014. Pursuant to the District of Columbia Home Rule Act, this...more

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