News & Analysis as of

Federal Contractors: In the Line of Regulatory Fire

On October 10, 2014, the White House hosted a listening session regarding President Obama’s “Fair Pay and Safe Workplaces” Executive Order, one of many new laws imposing significant new requirements on federal contractors....more

Modern Slavery Bill in the United Kingdom Expected to Include Public Reporting Requirement

Earlier this month, the U.K. Home Office announced that a measure requiring public reporting by British companies would be included in the Modern Slavery Bill that is currently being considered by the House of Commons. The...more

OSHA Expands Employers' Reporting Requirements for Work-Related Injuries and Fatalities

On Sept. 11, 2014, the U.S. Department of Labor’s Occupational Safety and Health Administration (“OSHA”) announced revisions to its rule that requires employers to notify OSHA when employees suffer a work-related...more

OSHA Updates Reporting and Recordkeeping Rules

OSHA has updated its reporting and recordkeeping rules for employers. The key item to note is that all employers (regardless of size or number of employees) must now report serious workplace injuries involving hospitalization...more

Final VETS Rule Simplifies Contractor Reporting Requirements

Last month, the Department of Labor’s Veterans’ Employment and Training Service (VETS) issued final rules for annual reporting by federal contractors of veterans in their workforces. The new rule, which takes effect August 1,...more

New Regulations Simplify Reporting Requirements for Federal Contractors . . . Really, They Do!

If you do business with the federal government, chances are that you're feeling weighed down by the various new requirements placed on you over the past year. We’ve discussed these requirements in past posts below. That's why...more

SEC Finalizes Rule On Asset-Backed Securities

On September 24, the SEC issued a final rule adopting significant revisions to regulations governing the disclosure, reporting, registration and the offering process for asset-backed securities (“ABS”). The revised rules aim...more

Employment Flash - September 2014

In This Issue: - SEC Pays First Whistleblower Award to Audit and Compliance Professional - Supreme Court Allows Affordable Care Act Contraceptives Religious Exemption - EEOC Adopts New Pregnancy...more

Getting Schooled by the FPPC - AB 1234 Ethics Training Can Safeguard School Officials from FPPC Reporting Violations

The Fair Political Practices Commission has initiated a proactive approach to auditing and investigating reporting violations, some focused on school district officials. Rather than waiting for a violation to be brought to...more

When Bribery Pays, People Bribe

As Alison Taylor (Senior Managing Director, Control Risks) stated in a recent Forbes Article, “Compliance and Risk: Clearing the Org Chart Hurdle, “the traditional preventative approach to risk management is proving...more

OSHA Announces Final Rule On Recording Requirements

On September 11, 2014, OSHA released its final rule for Occupational Injury and Illness Recording and Reporting Requirements. The rule, which takes effect on January 1, 2015, makes two important changes that tighten OSHA’s...more

SEC Enforcement Actions for Failure to File Timely Reports (under Sections 16(a), 13(d) and 13(g) of the Exchange Act)

Last week, the Securities and Exchange Commission (SEC) announced settled charges against (i) 28 officers, directors and major beneficial owners of publicly traded companies that failed to file Schedules 13D and 13G and...more

SEC Announces Enforcement Actions Relating to Section 16 Reporting Violations

On September 10, the SEC announced enforcement actions against 28 individuals and investment companies for failing to promptly report their holdings of and transactions in public company stock. The SEC also brought charges...more

OSHA Updates Reporting and Recordkeeping Rule – New Rules Take Effect January 1, 2015

OSHA just announced updates to its reporting and recordkeeping requirements for injuries and illnesses, found at 29 CFR 1904. The updates include changes to who is required to comply with the recordkeeping rules, and expands...more

The SEC – now killing many birds with one "big data" stone: 5 takeaways

The SEC this week announced a mass action against 34 defendants for alleged violations of federal securities laws regarding reporting of stock holdings. As the Wall Street Journal reported, the action “is part of the ‘broken...more

Employer Shared Responsibility Payments and Reporting Requirements Under the Affordable Care Act: Code Sections 6055 and 6056

Employer Shared Responsibility Penalties - There are two types of employer shared responsibility payments, also known as pay or play penalties, under the Affordable Care Act (ACA). The first penalty under Internal...more

OSHA’s Final Rule on Reporting Requirements: A Major Change for Employers

On September 11, 2014, the federal Occupational Safety and Health Administration (OSHA) announced a final rule that significantly changes an employer’s duties to report workplace injuries to the agency. The current rule,...more

OSHA Proposes New Injury And Illness Reporting Rules

On August 14, 2014, the Occupational Safety and Health Administration ("OSHA") issued a supplemental notice of proposed rulemaking regarding electronic submission of injury and illness records. OSHA had originally published...more

CFTC Staff Issues Relief from Ownership and Control Reporting Rules

The conditional, time-limited no-action letter extends certain compliance deadlines under the new rules. On November 18, 2013, the US Commodity Futures Trading Commission (CFTC) published final rules on Ownership and...more

OFCCP To Require Federal Contractors To Report Wage Information

The U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) has issued a notice of proposed rulemaking, which, if adopted, would amend regulations under Executive Order 11246 to require certain...more

ESMA Publishes Guidelines on Reporting Obligations Under the AIFMD

On August 8, the European Securities and Markets Authority (ESMA) published official translations of its Guidelines on Reporting Obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the Alternative Investment Fund...more

REMIT Draft Implementing Acts Further Define Data Reporting Obligations

On 8 July 2014, the European Commission’s DG Energy published an updated draft of the implementing acts on data reporting under the Regulation on Wholesale Energy Market Integrity and Transparency (“REMIT”)....more

OSHA Issues Supplemental Notice Of Proposed Rulemaking To Improve Reporting And Tracking Of Work-Related Injuries And Illnesses

On August 14, 2014, the Occupational Safety and Health Administration (OSHA) published a Supplemental Notice of Proposed Rulemaking (supplemental notice) that is intended to improve the reporting and tracking of work-related...more

OFCCP Proposes Burdensome Annual Submission of Pay Data

The agency will publish “objective industry standards” on acceptable pay differences. On August 6, the Office of Federal Contract Compliance Programs (OFCCP) published an advance copy of a regulatory proposal that, if...more

'Ralls' Decision Doesn't Alter CFIUS Voluntary Reporting Analysis for Foreign Investment in U.S.

A lot of attention has been given to a recent decision by the U.S. Court of Appeals for the District of Columbia (D.C. Court of Appeals) unanimously ruling against President Barack Obama relating to his order stopping Chinese...more

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