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Service, Vendor and Enterprise Agreements

Start ups want everything to go quickly, and the agreement that everyone seems to focus on to provide or obtain a service to and from another start up is the service agreement. Sometimes the agreement is referred to as a...more

Beyond the Clouds: Important Sales Tax Considerations for Web-Hosting Providers and Co-Location Facilities

Most people’s understanding of the Internet extends about as far as their eyes can see. In other words, they know that if they type a few words into the little white box beneath the colorful Google logo, within a fraction of...more

SEC Brings First Cybersecurity Enforcement Proceeding in Wake of Risk Alert

Highlights Areas of High Risk and Examination Priorities for Financial Industry Firms - On September 15, the U.S. Securities and Exchange Commission’s (SEC’s) Office of Compliance, Inspections and Examinations (OCIE),...more

Top Tips for Employers: Using Analytics to Make People Decisions

There is more data stored electronically now than ever before. This includes financial data, sales transactions, emails, instant messages, and employee activities, to name a few. Real value can be derived from analysis of...more

SEC Ramps up Cybersecurity Scrutiny With Examination Priorities and an Enforcement Action

Why it matters - Signaling that it will continue to increase its scrutiny of firms' cybersecurity readiness, the Office of Compliance, Inspections and Examinations of the Securities and Exchange Commission (SEC) issued a...more

SEC Steps Up Cybersecurity Enforcement

September has been a busy month for the SEC in addressing cybersecurity. In the span of a week, the SEC issued a new alert in connection with its cybersecurity examination of Wall Street firms, entered a Cease and Desist...more

OCIE Issues Cybersecurity Risk Alert and Exam Plans; Follows Up with Enforcement Action

The Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) recently released a Risk Alert containing its plan for a second round of cybersecurity examinations of registered...more

The New Paradigm in Vendor Management Under the CFPB

This past July marked the fifth anniversary of the creation of the Consumer Financial Protection Bureau (CFPB), a period marked by sweeping changes to the regulatory and administrative environment in which financial...more

The Recipe for More Efficient E-Discovery

As the saying goes, too many cooks in the kitchen spoil the broth. For corporate counsel who take a more hands-on approach to e-discovery and want to hire and supervise their own third-party vendors, maintaining the peace...more

Yosemite: The Park, the Name, and the Lawsuit

As the saying goes, possession is nine-tenths of the law. That other tenth can be pretty complicated, depending on what you’re “possessing.” When you’re arguing with an older brother over who “possesses” the remote control,...more

New Round of SEC Cybersecurity Examinations of Financial Service Firms and Their Cyber Controls

The Office of Compliance Inspections and Examinations (the OCIE) has just published a new Risk Alert on cyber risks and precautions identifying specific areas it will be focusing on during the second round of examinations of...more

"SEC Issues Cybersecurity Initiative"

On September 15, 2015, the U.S. Securities and Exchange Commission (the “SEC”) issued a risk alert release announcing that the Office of Compliance Inspections and Examinations (“OCIE”) will be conducting a new Cybersecurity...more

SEC: 2015 Examination Priorities – Cybersecurity Compliance and Controls

Registered broker-dealers and investment advisers received a stern warning to strengthen their cybersecurity programs or face further regulatory scrutiny. On September 15, 2015, the SEC announced a plan to sharpen its focus...more

SEC Issues Cybersecurity Examination Risk Alert

On September 15, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert re-emphasizing the careful scrutiny it will give to the data security practices of...more

SEC’s OCIE Risk Alert Announces New Cybersecurity Exam Initiative – Focus Includes Conducting Tests of Efficacy of Firm’s...

Following up on last year’s cybersecurity sweep exam, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a new Risk Alert on September 15, 2015, announcing a second round of cybersecurity exams. In...more

SEC to Conduct Second Round of Cybersecurity Examinations

On September 15, 2015, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a Risk Alert announcing its second round of examinations of registered investment...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

Wanted: Brand Deputies at the MN State Fair

The Minnesota State Fair continues to provide endless blog fodder for those who care about intellectual property. Last week, we wrote about a State Fair vendor concerned about its claimed, but unarticulated “intellectual...more

Alabama Passes New (and More Restrictive) Non-Compete Statute

Effective January 1, 2016, Alabama has passed a new non-compete and non-solicitation statute, repealing Section 8-1-1 of the Alabama Code ("the New Act"). The New Act begins with the same general statement as the prior...more

How Will Browning-Ferris Change the Test for Joint-Employer Status for Union and Non-Union Employers?

In a ruling that will affect most business relationships and extends far beyond either labor law or the concept of employment generally, the National Labor Relations Board (“NLRB” or “Board”) issued a much awaited decision...more

2015 Form 1095-C Reporting: IT Vendor Survey

On August 18, 2014, we posted our, “First Look at ACA Employer Compliance Software.” It’s time for an update. We invited less than a dozen vendors to answer these twenty-two questions....more

A Guide for Insurers on Creating and Maintaining a Cybersecurity Plan

The intersection of valuable and personally identifiable digitized information and the increasing incidence of cybersecurity breaches makes the creation and maintenance of a cybersecurity plan one of the most pressing...more

Best Practice Internal Controls For Reducing Fraud And Corruption Risk

Fraud and corruption risk are inevitable, yet every company should strive to reduce these risks. For Compliance Week, Jeffrey Harfenist (BDO Consulting, Global Forensics), Stephanie Giammarco (BDO Consulting, Forensic...more

Access to Employee Benefit Records - Take Action Now to Avoid Issues Later

Today, many records relating to employee benefits reside with vendors administering those benefit plans (including forms mandated by statute and regulations, participant phone call center recordings and notes, benefit...more

As GSA FAS Struggles To Reinvent Itself; Contractors Suffer

The last year has been a tough one for the GSA Multiple Award Schedules (“MAS”) program. The Federal Acquisition Service (“FAS”) – the agency charged with administering the MAS program – has struggled to re-invent itself and...more

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