Reporting Requirements Compliance

News & Analysis as of

SEC Proposes New Reporting Requirements for Registered Funds

On May 20, 2015, the Securities and Exchange Commission (“SEC”) proposed rules, forms and amendments under the Investment Company Act of 1940 (the “1940 Act”) and related regulations (together, the “Proposed Amendments”) that...more

Whistleblowing: An Employer’s Guide To Global Compliance

In This Issue: - Foreword - A Summary Across Five Continents - Law and Sanctions - The Legislative Framework: Whistleblower Protections Across the Globe - Global Differences: The Cultural...more

FCPA Compliance and Ethics Report-Episode 172-Scott Killingsworth on Personal Liability of CCOs [Video]

In this episode I visit with Scott Killingsworth on the recent SEC enforcement action in the SFX matter. In that case, the SEC held the CCO personally liability. We discuss the underlying facts, prior SEC pronouncements the...more

FATCA: Making First Submissions and Maintaining Compliance

While the Foreign Account Tax Compliance Act (FATCA) became law in 2010, it has been slowly transitioning to implementation, with 2015 being the first year of required reportings. For anyone not familiar with the Act, FATCA...more

SEC Publishes 11 Regulation A+ CD&Is

The SEC has published 11 Compliance and Disclosure Interpretations related to Regulation A+ — numbered 182.01 through 182.11 under Securities Act Rules. Highlights are: - Twitter is allowed for testing the waters! ...more

MiFID II: The Next Big Challenge - Key Issues for Asset Managers

Background - The Markets in Financial Instruments Directive (“MiFID II”) and the related Regulation (“MiFIR”) is the next big rewrite of EU legislation, due to take effect at the beginning of 2017. Although its greatest...more

U.S. SEC Approves Proposal to Modernize Investment Company Reporting Regime

The U.S. Securities and Exchange Commission (SEC or Commission) unanimously approved a proposal (Proposal) to modernize the reporting of information provided by registered investment companies (funds). Guided by the recent...more

California Court of Appeals Holds Subcontract Unable to Collect Compensation Under Business & Professions Code 7031 Because...

In Pacific Caisson & Shoring, Inc. v. Bernards Bros. Inc. [2015 Cal. App. LEXIS 426], a subcontractor’s license with the Contractors State License Board (CSLB) was automatically suspended due to an unsatisfied stipulated...more

U.S. EPA – Next Generation Enforcement – Already Here With More Coming Soon

The 2016 budget focus for the United States Environmental Protection Agency (“U.S. EPA”) is on continued implementation of its “Next Generation” enforcement initiative, and this could mean big costs for manufacturers who...more

Campus SaVE Regulations Take Effect July 1, 2015: Are You Ready?

The Violence Against Women Reauthorization Act of 2013 (“VAWA”) amended the Clery Act by imposing new obligations on institutions of higher education under VAWA’s Campus Sexual Violence Act (“Campus SaVE”) provision. The...more

FinCrimes Update - May 2015 Summary, Volume 2, Issue 5

FINCEN NAMES JAMES EL-HINDI AS NEW DEPUTY DIRECTOR - On May 21, FinCEN announced Jamal El-Hindi as its new Deputy Director. Since January 2015, El-Hindi has been serving as the agency’s acting Deputy Director, and...more

Insights for Improving Conflict Minerals Compliance

As the annual May 31 deadline falls on a Sunday this year, companies must file their Conflict Minerals disclosures under Section 1502 of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act with the U.S....more

International tax and withholding considerations for US companies and their directors

To staff their board of directors with the best and most diverse talent, multinational companies commonly elect boards with international representation. It is also common for companies to convene periodic board meetings...more

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

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

"Important but Frequently Overlooked Reporting Requirements for Inbound and Outbound Direct Investment Involving US Entities"

Pursuant to the requirements of the International Investment and Trade and Services Survey Act and related statutes, the U.S. Department of Commerce’s Bureau of Economic Analysis (BEA) collects information on international...more

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

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

143 Results
|
View per page
Page: of 6

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×