News & Analysis as of

Reporting Requirements Compliance

New FASB Revenue Recognition Standard-Revenue from Contracts with Customer

by Thomas Fox on

We are now less than six months away from a new Revenue Recognition standard which may significantly impact the compliance profession, compliance programs and compliance practitioners going forward....more

NYSE MKT Proposes Rule Change to Harmonize its Periodic Reporting Requirements with Those of the NYSE

On May 8, 2017, the NYSE MKT issued a proposed rule change to harmonize its periodic reporting requirements with those of the NYSE. Currently, the NYSE MKT provides companies that are late in making required filings with a...more

FinCEN Enforcement Action Highlights AML Compliance Program Failures and Conflicts of Interest for High-Risk MSB Customers

On February 27, 2017, FinCEN announced a $7 million civil monetary penalty against Merchants for willful violations of the BSA. Additionally, the Office of the Comptroller of the Currency (OCC), Merchants’ federal functional...more

FMA releases Conduct Outcomes Report

by DLA Piper on

The New Zealand Financial Markets Authority (FMA) has released its Conduct Outcomes Report 2016 (Report), highlighting the key issues and actions from the FMA's enforcement, supervision and preventative activities for the...more

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

by Dechert LLP on

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

The “New” Face of Corporate Misconduct

by Michael Volkov on

As we look across the corporate governance landscape and focus on the spikes of corporate scandals, I started to wonder if there was any pattern or trend to the nature of corporate scandals....more

How to Prepare for New Equal Pay Requirements

by NAVEX Global on

The Equal Pay Act in the United States dates back to the early 1960s. But its enforcement—and the conversation about equal pay issues around the globe—requires close watching in the next few years....more

Obligation for Russian legal entities to hold information about their beneficial owners from 21 December 2016

by Dentons on

Starting from 21 December 2016, most Russian legal entities, including subsidiaries of foreign companies, must keep information about their ultimate beneficial owners (“UBOs”). This obligation is provided for by Federal Law...more

¿Sabe usted el propósito de los Procedimientos de Presentación de Cumplimiento Racionalizados?

by Foodman CPAs & Advisors on

Procedimientos Racionalizados de Presentación de Cumplimiento (Streamlined Filing Compliance Procedures) es una de las opciones disponibles para los contribuyentes Estadounidenses con activos e ingresos financieros...more

Do you know the purpose of the Streamlined Filing Compliance Procedures?

by Foodman CPAs & Advisors on

Streamlined Filing Compliance Procedures (Streamlined) is one of the options available for US Taxpayers with unreported foreign financial assets and income. It is intended for the Taxpayers that have acted non-willfully. ...more

5 Key Takeaways from My Long List of Regulatory Changes Shared at ECVC2016

by NAVEX Global on

As 2016 draws to a close with a major political transition underway in Washington, D.C., organizations already dealing with a rapidly evolving regulatory environment now face uncertainty regarding whether some of the new...more

[Webinar] Not Your Grandmother's Form 40 - Nov. 22nd, 2:00 pm EDT

Tuesday, November 22, 20162:00 PM – 3:00 PM EDT A common tool that the Commodity Futures Trading Commission (“CFTC” or the “Commission”) relies upon to conduct market surveillance, including monitoring compliance with...more

FinCEN Issues Advisory on the Reporting of Cyber-Events and Cyber-Enabled Crimes

The Financial Crimes Enforcement Network, or FinCEN, an arm of the United States Department of the Treasury, issued an advisory last week to remind financial institutions of their obligations to report cyber-events on...more

Setting the Scene - Final SEC guidance on cross-border SBSs is likely to ease concerns surrounding reporting duties and compliance...

by Morrison & Foerster LLP on

On July 13 2016, the US Securities and Exchange Commission (SEC) adopted amendments and guidance (Final Rules and Guidance) related to its rules on the regulatory reporting and public dissemination of security-based swaps...more

FTC Raises Maximum Civil Penalty to $40,000; HSR Act and Other Continuing Violations May Incur Civil Penalties of Over $14 million...

by Dechert LLP on

Key Points: The FTC is raising the maximum civil penalty that may be imposed for certain violations from $16,000 to $40,000. For HSR Act violations, where penalties may be imposed for each day the person is in...more

DOL Persuader Regulations Expose Every Employer to Reporting Requirements and Disclosures

by Morgan Lewis on

All employers should examine their use of labor and employment service providers to mitigate unwanted disclosure of fees paid to such providers. To protect confidentiality and the integrity of the attorney-client...more

New Reporting Obligations Under the Modern Slavery Act 2015: Is Your Business Ready?

by Faegre Baker Daniels on

The Modern Slavery Act 2015 (MSA) seeks to combat slavery and human trafficking by requiring businesses to ensure that their operations and supply chains do not allow for either. Under section 54 of the MSA, organisations...more

FinCEN Proposes Anti-Money Laundering and Suspicious Reporting Rules for Registered Investment Advisers

by Morrison & Foerster LLP on

On August 25, 2015, the US Treasury Department’s Financial Crimes Enforcement Network (FinCEN) proposed rules that would require registered investment advisers to adopt anti-money laundering (AML) programs and report...more

EIOPA updates Solvency 2 reporting format

by Dentons on

EIOPA has updated the Solvency 2 reporting package for the first submission obligations of at least the first and second financial quarters....more

CMS Makes Significant Changes to Stage 2 Meaningful Use and Finalizes Stage 3

by Robinson & Cole LLP on

On October 16, 2015, the Centers for Medicare & Medicaid Services (CMS) published a final rule (Final Rule) that streamlines Stage 2 and finalizes Stage 3 of the Medicare and Medicaid electronichealth record (EHR) Incentive...more

Crowdfunding Regulations

by Pepper Hamilton LLP on

On October 30, 2015, the Securities and Exchange Commission (SEC) adopted final crowdfunding rules. More than two years after the publication of the proposed crowdfunding rules, the SEC approved regulations that permit...more

Recent Amendments to Security Breach Notification Laws Further Complicate Breach Notification for Employers

by Littler on

It is not a matter of "if" but "when" an employer will be required to notify employees of a security breach.  Forty-seven states require employers to notify employees when defined categories of personal information, including...more

FCA makes new rules

by Dentons on

From 24 September to 22 October, FCA made changes to the following Handbook instruments: - Accountability and Whistleblowing Instrument 2015 (see FReD 9 October)...more

Electronic Reporting to be the NPDES Rule

After a lengthy public notice and comment period, the final National Pollutant Discharge Elimination System (“NPDES”) Electronic Reporting Rule was published in the Federal Register on October 22, 2015, and will become...more

NYSE Amends Rule Regarding Disclosure of Material Nonpublic Information

by Baker Donelson on

Companies listed on the New York Stock Exchange (NYSE) are certainly familiar with the NYSE rules regarding public disclosure of material information. Those rules require prompt disclosure of material information that may...more

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Cybersecurity

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