Reporting Requirements Compliance

News & Analysis as of

Bristol-Myers Squibb Pays $14 Million to SEC to Resolve China FCPA Offenses

On October 5, the SEC announced a settlement with Bristol-Myers Squibb to resolve allegations that the pharmaceutical company’s Chinese joint venture, BMS China, gave cash, jewelry, and other benefits to health care providers...more

New CMS Proposed Rule Provides Who/What/When for Clinical Laboratory Reporting Requirements Starting January 1, 2016

Clinical laboratories will see significant changes to their Medicare payments for clinical diagnostic laboratory tests (CDLTs) starting January 1, 2017, but the basis for new payment rates will come from “applicable data”...more

CFTC’s Division of Market Oversight Provides Additional Time to Comply with Electronic Reporting Requirements in the OCR Final...

On September 28, the U.S. Commodity Futures Trading Commission’s (the “Commission”) Division of Market Oversight issued a no-action letter that provides reporting parties additional time to comply with certain reporting...more

Pipeline Proposal Would Expand Reporting and Testing, Cost $22.4M Annually

This year has been marked by a series of high-profile pipeline incidents in Montana, West Virginia and California, among others. In response to these incidents, the Pipeline and Hazardous Materials Safety Administration...more

CA AG Requires Chief Privacy Officer and Privacy Compliance Program

California’s Attorney General, Kamala Harris, has required Houzz, a home décor information and e-commerce website and mobile app publisher, to hire a chief privacy officer (CPO), conduct a company-wide privacy assessment, and...more

SEC Announces Second Wave of MCDC Enforcement Actions

The Securities and Exchange Commission (SEC) this week announced enforcement actions under its Municipalities Continuing Disclosure Cooperation (MCDC) Initiative, targeting 22 municipal bond underwriting firms for alleged due...more

Reporting for ACA Mandates: Final Forms and Additional Guidance

The IRS has finalized the 2015 forms and instructions for reporting under the individual and employer mandates and issued additional guidance on these new reporting requirements. The following forms are now available...more

Conflict Minerals Disclosure for Calendar Year 2015: "Conflict Undeterminable" Generally No Longer Permitted

The "DRC Conflict Undeterminable" determination, widely employed in conflict minerals reports to date, will not be permitted for issuers (other than small companies) reporting in 2016 on activities in calendar year 2015. At...more

EPA's NPDES Electronic Reporting Rule: A Step Toward A Next Generation Compliance Strategy

The final rule strives to take advantage of information technology, allowing resources to be used more efficiently and effectively, and giving the EPA, states and the public better access to key data. Implementation will...more

IRS Issues Final ACA Information Reporting Forms and Instructions

With three months remaining in 2015, the IRS has issued final forms and instructions that employers will need to use to satisfy the Affordable Care Act (ACA) information reporting requirements. The final forms and...more

EIOPA issues Solvency 2 guidelines translations

EIOPA has published its second set of Solvency 2 guidelines translated into all official languages. These cover areas from all the three pillars (quantitative requirements; governance requirements; reporting and disclosure)....more

FinCEN Proposes AML Regulations for Investment Advisers

In August 2015, the Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed regulations that would require investment advisers subject to SEC registration to establish anti-money laundering (AML)...more

PRA updates CRD4 reporting

PRA has published clarifications for inconsistencies and errors identified in guidance and reporting templates on the CRD4 liquidity coverage ratio (LCR) and eligible capital reporting resources....more

PRA updates on Solvency 2

PRA has published its update letter for all Solvency 2-affected firms. The letter reminds firms of PRA’s expectations with respect to: - transitional deduction to technical provisions; - the standard formula...more

EBA publishes updates for supervisory reporting

EBA has published an update to the XBRL taxonomy that supervisors should use for the remittance of data under EBA Implementing Technical Standards (ITS) on supervisory reporting....more

Regulation A Roundup - September 2015

This week marks the three-month anniversary of the effective date of Regulation A. Of course, given this limited experience, it may be premature to comment on market developments. Instead, below we summarize significant...more

EBA Revises Implementing Technical Standards on Supervisory Reporting

On September 10, 2015, the European Banking Authority (EBA) issued a revised list of validation rules in its implementing technical standards on supervisory reporting under the Capital Requirements Regulation (Regulation...more

IRS Provides Updated Guidance on Electronic Filing of ACA Information Returns

As 2016 approaches, the IRS is issuing more detailed guidance on how employers will need to comply with the upcoming ACA information reporting requirements. As a reminder, the ACA information reporting rules require employers...more

Crafting a more realistic business associate agreement

According to a recent survey by KPMG, eighty percent (80%) of health care executives report that their information technology systems have been compromised by cyber attacks. Most healthcare institutions, the survey found,...more

EEO-1 Filing Deadline Extended to October 30, 2015

The EEO-1 Joint Reporting Committee has extended the deadline for all EEO-1 filers from September 30, 2015 to October 30, 2015. The EEO-1 report is a compliance survey required by federal statute and regulations, which...more

Is Your Institution Ready for the October 1 Clery Report Deadline?

By October 1, all colleges and universities that participate in federal financial aid programs must publish and distribute to all current and prospective students and employees an Annual Security and Fire Safety Report. As in...more

HR Tech: Compliance Pointers

Yesterday, TalentCulture hosted a #tchat entitled “Why Compliance is A Complex HR Necessity.” Every participant in the chat agreed that compliance is difficult and no fun. Laws constantly change, and just when one issue...more

Interim rule requires Department of Defense contractors to report cyber breaches

Companies doing business with the U.S. Department of Defense are facing new requirements for reporting data security breaches and for acquiring cloud computing services. The Interim Rule, effective August 26, 2015, amends the...more

Blacklisting for Past Labor Violations -- Executive Order 13673

Officially known as “Fair Pay and Safe Workplaces,” Executive Order 13673 now consists of proposed guidance from the Department of Labor (DOL) and proposed regulations from the Federal Acquisition Regulatory Council (FAR). It...more

Immigration Laws Impacting the Workplace

The H-1B visa program has been one of the most successful programs in U.S. immigration history, allowing for U.S. entities to hire and place highly skilled workers, holding at least a bachelors’ degree or the equivalent, into...more

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