Recordkeeping Requirements

News & Analysis as of

If Pain, Yes Gain—Part XXV: Midwest Still Sick with Sick Leave Laws

Seyfarth Synopsis: Minneapolis, MN made four key amendments to its Sick and Safe Time Ordinance and Cook County, IL passed the Earned Sick Leave Ordinance - Minneapolis Sick and Safe Time Ordinance Updated - Nearly...more

SEC Approves FINRA Rules Addressing “Pay-to-Play” Practices

The Securities and Exchange Commission (the “SEC”) recently approved the Financial Industry Regulatory Authority, Inc. (“FINRA”) proposal to adopt FINRA Rules 2030 and 4580, which set forth pay-to-play restrictions, and...more

OSHA Again Delays Enforcement Date for New Workplace Injury and Illness Reporting Rule

Seyfarth Synopsis: After a lawsuit was filed against OSHA challenging its May 2016 retaliation and recordkeeping rule, OSHA again delays the rule’s effective date. OSHA announced today that it has again delayed the...more

Cook County, Illinois Becomes First in the Midwest to Mandate Countywide Paid Sick Leave

On October 5, 2016, the Cook County Board of Commissioners passed the Cook County Earned Sick Leave Ordinance (the “Ordinance”). Notably, Cook County, Illinois encompasses the City of Chicago, which passed its own paid sick...more

Regulatory Update and Recent SEC Enforcement Actions

On June 2, 2016, the SEC announced that it hired Christopher R. Hetner, a cybersecurity expert, as the Senior Adviser to the Chair for Cybersecurity Policy. The hire is indicative of the SEC’s focus on cybersecurity measures...more

SEC Adopts Rules for Reporting Separately Managed Accounts on Form ADV and Revised Recordkeeping Rules

Amendments to Form ADV - Information Regarding Separately Managed Accounts - The SEC’s final amendments to Part 1A of Form ADV include items intended to collect more information about each adviser’s SMAs. The...more

Paid Sick Leave for Federal Contractors Final Rule—Prognosis and Practical Challenges

Seyfarth Synopsis: The United States Department of Labor’s Final Rule on paid sick leave requirements for many federal contractors, which was published on September 30, 2016, will apply to covered contracts beginning on...more

Freedom to Utilize Genetic Resources? The Nagoya Protocol Two Years Later

Two years ago today, the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits from their Utilization to the Convention on Biological Diversity (“Protocol”) entered into international...more

New TSCA Requirements for Chemical Importers

Companies planning to ship chemical-based products to the United States should have a basic understanding of the Toxic Substances Control Act (TSCA), the key U.S. chemicals law. That law was substantially amended in June...more

Cantor Gaming Forced to Pony up Millions for AML Violations: What Lessons Can Be Learned from FinCEN’s Latest Enforcement Action...

Action Item: Licensed gaming and other entities required to comply with the Bank Secrecy Act should be aware of this recent FinCEN enforcement action, and they must ensure that their compliance programs address the lessons...more

FCC Releases Third Biennial Report to Congress on Communications Accessibility for People with Disabilities

On October 7, 2016, the Federal Communications Commission (FCC) released the third iteration of its Biennial Report to Congress on the state of communications technology accessibility for people with disabilities as required...more

EEOC Resuelve Caso de Robo de Salario Discriminatorio

Steamboat Springs restaurante que pagar $50,000 (50 mil dolares) por falta de pago de salarios adecuados a Los trabajadores latinos debido a su raza u origen nacional - DENVER - En Steamboat Springs, Colorado, el...more

EEOC Conciliates Discriminatory Wage Theft Case

Steamboat Springs Restaurant to Pay $50,000 for Failing to Pay Proper Wages to Latino Workers Because of Race or National Origin - DENVER - A Steamboat Springs, Colo., restaurant has agreed to pay $50,000 to resolve race...more

Minneapolis Amends Recently Enacted Paid Sick Leave Law

Minneapolis, Minnesota has amended the Minneapolis Sick and Safe Time Ordinance less than four months after it was enacted. The amendments come on the heels of neighboring St. Paul adopting its own paid sick leave law, and...more

Don’t Gamble on Anti-Money Laundering Compliance

In August 2014, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued an advisory urging leadership within all U.S. financial institutions to actively promote a culture of compliance...more

If Pain, Yes Gain—Part XXIV: Montgomery County, MD Paid Sick Leave Is Here

Seyfarth Synopsis: Montgomery County’s Earned Sick and Safe Leave Act will be going into effect this weekend, on October 1, 2016. Unlike most municipal paid sick leave laws, which are enacted to cover a specific city or town,...more

SEC Amendments to Form ADV and Advisers Act Rules Change Investment Adviser Reporting Requirements

Proposals made by the Securities and Exchange Commission (SEC) in 2015 to amend Form ADV and certain rules under the Investment Advisers Act of 1940 (Advisers Act) (SEC Proposes Significant Reporting Requirement Amendments to...more

SEC Adopts Changes Impacting Private Fund Advisers

The SEC’s recently-adopted changes to Form ADV and Rule 204-2 of the Investment Advisers Act of 1940, as amended (the so-called “books and records rule”), raise important considerations for many private fund advisers –...more

Syngenta Settles with EPA on Alleged Label Violations

On September 16, 2016, the U.S. Environmental Protection Agency (EPA) announced it settled an enforcement matter with Syngenta Crop Protection, LLC (Syngenta or Respondent) via a Consent Agreement and Final Order (CAFO)...more

SEC Amends Form ADV and Investment Adviser Recordkeeping Rules

The U.S. Securities and Exchange Commission (SEC) recently adopted amendments to Form ADV and to Rule 204-2 (Recordkeeping Rule), as well as technical amendments to other rules under the Investment Advisers Act of 1940...more

St. Paul Joins Minneapolis in Passing Paid-Sick Ordinance

Both cities will require employers to extend paid sick leave, effective July 2017. On Wednesday September 7, 2016, St. Paul became the second Minnesota city to enact an ordinance requiring that employers offer workers...more

Saint Paul Becomes the Second City in Minnesota to Mandate Paid Sick and Safe Time

On September 7, 2016, Saint Paul became the second city in Minnesota to mandate that employers provide earned sick and safe time for their workers. Under Saint Paul’s ordinance (the “Saint Paul Ordinance”), covered employers...more

New York Implements Regulation Strongly Favoring Payment of Wages by Check and Discouraging Payment by Direct Deposit and Debit...

On September 7, 2016, the New York State Department of Labor (“NYDOL”) adopted a final regulation setting the conditions by which employers in New York State can pay wages by direct deposit or by debit card. This regulation...more

Montgomery County, MD Earned Sick and Safe Leave Act: Coming October 1, 2016

In less than 30 days on October 1, 2016, the Montgomery County, Maryland Earned Sick and Safe Leave Act ("ESSLA") will become effective. The ESSLA's broad reach encompasses those employers who have physical locations in...more

Berkeley Enacts California’s Newest Local Paid Sick Leave Law

On August 31, 2016, the City of Berkeley, California joined the long list of local jurisdictions to create a local sick leave law when it enacted the “Paid Sick Leave Ordinance.” Berkeley also amended its minimum wage law and...more

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