Reporting Requirements Compliance

News & Analysis as of

The SEC Proposes Expanding Reporting Requirements for Investment Companies

On May 20, 2015, the Securities and Exchange Commission (the “SEC”) approved new proposed rules, forms and amendments that would expand the information that registered investment companies1 are required to report. The SEC’s...more

Lawmakers Introduce Worker Misclassification Legislation

Two weeks after the U.S. Department of Labor issued an Administrator's Interpretation cautioning that "most workers are employees," Senators Bob Casey (D-PA) and Al Franken (D-MN) introduced a bill targeting worker...more

EPA Issues Direct Final Rule To Mandate Updated Electronic Reporting

The July 20, 2015, Federal Register includes a notice for direct final action to amend the electronic reporting regulations for Section 5 under the Toxic Substances Control Act (TSCA). The U.S. Environmental Protection Agency...more

Canada’s New Extractive Sector Transparency Measures Act and its Implications for Companies Subject to the U.S. Foreign Corrupt...

On June 1, 2015, Canada’s Extractive Sector Transparency Measures Act (“ESTMA” or “the Act”) came into force. Approved in December 2014, but not in force until this month, the Act requires companies in the extractive sector...more

Breaking Down Compliance: The Keys to Creating a Successful Compliance Program—As Told through the Letters of COMPLIANCE

Still being a young role and profession, many people are working to define what makes a successful compliance professional and program, and what can help them improve. After traveling the country for the past few months at...more

IRS Guidance on FBAR Penalties

On May 13, 2015, the IRS issued interim guidance to its examiners regarding penalties for failure to timely file the Report of Foreign Bank and Financial Accounts (FBAR). By no later than May 13, 2016, this interim guidance...more

The Affordable Care Act’s Reporting Requirements for Carriers and Employers (Part 1 of 24)

Alden Bianchi, Chair of the our Employee Benefits & Executive Compensation Practice, will provide a weekly installment on the complex reporting obligations outlined by the Affordable Care Act for health insurance carriers and...more

FTC Takes Its First Action Against Crowdfunding Site

As the Federal Trade Commission (FTC) targets more FinTech (new and emerging financial technology) under the banner of protecting consumers from deceptive trade practices, the Commission finally turned its attention to the...more

Refining a CCO’s Reporting Relationship to a Corporate Board

You can observe a lot by just watching – Yogi Berra There is way too much time being spent on esoteric arguments about corporate board reporting responsibilities for Chief Compliance Officers. Let’s agree and move on to...more

Compliance Stats Mashup: These Recent Statistics Show That Compliance Programs Still Have a Lot of Room for Improvement

With so many studies and surveys giving us a picture of the compliance and ethics landscape it can be hard to find time to read them all (trust me). I’ve spent some time recently digging through some of this research and...more

Expanded Significant Environmental Hazard Requirements for Connecticut Site Owners: Changes, Pitfalls, and Impacts

As of July 1, 2015, significant changes took effect for the Significant Environmental Hazards (SEH) program established by Conn. General Statutes §22a-6u. This program requires reporting to the Connecticut Department of...more

SEC Proposes Clawback Rule for Executive Compensation

On July 1, 2015, the Securities and Exchange Commission (the “SEC”) proposed rules to implement Section 954 of the Dodd-Frank Act, which added Section 10D to the Securities Exchange Act of 1934. Section 10D requires the...more

Your Questions: The Role of the CCO - A Q&A Session About the Evolving Role of the Chief Compliance Officer

Last year we gathered Robert Chersi, Executive Director, Center for Global Governance, Reporting and Regulation at Pace University; Seth Rice, Assistant General Counsel – Compliance & Director of Global Ethics and Compliance...more

SEC Proposes New Clawback Rules

Last Wednesday, the Securities and Exchange Commission (SEC) proposed new Rule 10D-1 to require public companies to adopt and enforce clawback policies to recoup incentive-based compensation paid to current and former...more

“Enough is Enough” Legislation Becomes Law: New York Education Law Article 129-B Establishes New Requirements for New York State...

On July 7, 2015, New York Governor Andrew Cuomo signed into law legislation that will, once again, change the way public and private colleges and universities in New York (“higher education institutions”) must respond to...more

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

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