News & Analysis as of

Notification Requirement for Firms Claiming Compliance with the Global Investment Performance Standards (GIPS)

The GIPS Executive Committee has approved a new requirement, effective January 1, 2015, that any firm claiming compliance with GIPS must annually notify the CFA Institute of such claim by June 30. Each GIPS-compliant firm...more

International Safe Harbor Privacy Compliance: What You Need to Know

Since early 2014, the Federal Trade Commission has charged at least fourteen U.S. businesses in varying industries, from fashion to telecommunications, for falsely claiming to participate in the US – EU Safe Harbor privacy....more

SEC Provides New C&DIs on Verifying Accredited Investor Status

In early July, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance issued several new interpretations (at 255.48-49 and 260.35-38) (C&DI) relating to the verification of “accredited investor” status...more

Public Companies, Beware! Safe Harbor Protection Requires Thoughtful Warnings and a Sophisticated Defense

Public companies around the country labor under the misunderstanding that the Private Securities Litigation Reform Act’s “Safe Harbor” provision protects them from liability for publicly announced earnings guidance and other...more

Safe Harbor in a Storm

The Federal Trade Commission has flexed its muscles in relation to the Safe Harbor privacy framework, but has it done enough to placate European sceptics? The US Federal Trade Commission (“FTC”) announced on 21 January...more

FTC Settles With Businesses Who Allegedly Misrepresented US-EU Safe Harbor Certification

Beware: Even if your company substantially complies with the Privacy Principles of the US-EU Safe Harbor, failure to annually re-certify can land you in hot water. Twelve US businesses—ranging from sports teams, to...more

U.S. Privacy and Data Protection: 2013 Year in Review and a Look Ahead to 2014

In Boston, we celebrated Data Privacy Day (January 28) by presenting “U.S. Privacy and Data Protection: 2013 Year In Review and a Prediction of What’s to Come in 2014” for participants in an IAPP KnowledgeNet. Our panel of...more

FTC Announces Settlements for Allegedly False Safe Harbor Compliance Claims

The Federal Trade Commission (FTC) recently announced settlements with 12 U.S. companies over allegations that the companies falsely claimed they held current certifications for the U.S.-EU Safe Harbor Privacy Framework. The...more

FTC Settles Claims Relating to U.S. – EU Safe Harbor Program

The Federal Trade Commission recently announced it has settled claims against 12 companies relating to charges the companies falsely claimed they were abiding by the U.S. – EU Safe Harbor program that enables U.S. companies...more

Privacy & Cybersecurity Update - December 2013

In This Issue: - European Commission Proposes Changes to the US-EU Safe Harbor: In our November Privacy & Cybersecurity Update,1 we reported that the European Commission was undertaking a review of the U.S.-EU...more

FTC Pursuing Incorrect U.S.- EU Safe Harbor Certifications in Privacy Policies

The FTC is reviewing companies with privacy policies that claim U.S.-EU Safe Harbor certification. Companies that are not fully compliant and currently certified may face an FTC enforcement action, which could result in...more

The Benefits Game - Playbook for Compliance with the Health Care Reform’s Pay or Play Rules for Employers

The Affordable Care Act’s (ACA’s) employer shared responsibility provisions (commonly called “pay or play”) impact “large” employers and go into effect in 2014. Although effective in 2014, employers must plan NOW. Advance...more

Countdown to 2014: Prepare for the Affordable Care Act Now

Originally published in New Hampshire Business Review on March 8, 2013. The Affordable Care Act is the most important piece of employee benefits legislation since the passage of ERISA in 1974. And in the past few...more

Affordable Care Act: Preparing for 2014

President Obama’s re-election confirmed that the Affordable Care Act will continue to be rolled out, and that its “pay-or-play” rules will become effective on January 1, 2014. These provisions require public and private...more

New Rules Coming into Effect Affect Retirement Plans Entering into Swaps

New rules affecting ERISA-covered retirement plans entering into swap transactions will come into effect in May 2013. These rules, known as the “Business Conduct Standards,” implement certain provisions of the Dodd-Frank...more

Escaping HIPAA: New Guidance on De-Identifying Health Information

HIPAA places tight restrictions on the use and disclosure of protected health information, but there are many ways to “de-identify” it, freeing it from HIPAA’s constraints. Covered entities and business associates can use...more

Safe Harbors and Gifts, Meals, Travel, and Entertainment Expenses

Companies often get “hung up” on paying for gifts, meals, travel and entertainment expenses. There are risks in this area but it most cases the risks are overblown. I am not saying that companies should ignore the issue but...more

Guidance Regarding Methods for De-identification of Protected Health Information in Accordance with the Health Insurance...

The Department of Health and Human Services Office for Civil Rights released its long-awaited guidance regarding the de-identification of protected health information in compliance with the Health Insurance Portability and...more

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