Medical Device Legal News with Sam Bernstein: Episode 10
Compliance Perspectives: Changes to the Physician Self-Referral and Anti-Kickback Rules
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
FCPA Compliance and Ethics Report-Episode 131, The FCPA Professor Takes a Look Back at 2014
On August 14, 2024 the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against 26 SEC-registered investment advisers, broker-dealers and dually-registered broker-dealers and investment advisers...more
Who may be interested: Investment Advisers; Broker-Dealers; Registered Investment Companies - Quick Take: The SEC settled charges against twenty-six firms, including three investment advisers, eleven broker-dealers, and 11...more
The Securities and Exchange Commission (SEC) announced charges against 26 broker-dealers, investment advisers, and dually-registered firms for widespread and longstanding failures to maintain and preserve electronic...more
The United States Department of Justice (“DOJ”) on behalf of the U.S. Environmental Protection Agency (“EPA”) entered into a July 1st Consent Decree (“CD”) with Gristede’s Foods NY, Inc. (“GFNI”) addressing alleged violations...more
United States Environmental Protection Agency (“EPA”) and East Side Plating, Inc. (“East Side”) entered into a March 13th Consent Agreement and Final Order (“CAFO”) addressing alleged violations of the Clean Air Act...more
Cal/OSHA, the California Division of Occupational Safety and Health, effective January 1, 2024, increased penalties for certain violations to adjust for inflation and ensure consistency with California and federal law....more
The Alabama Department of Environmental Management (“ADEM”) and Buck Oil Services, Inc. (“Buck Oil”) entered into a January 31st Consent Order (“CO”) addressing alleged violations of the Alabama Used Oil Regulations. See...more
On February 9, 2024, the Securities and Exchange Commission (SEC) announced charges against five broker-dealers, seven dually registered broker-dealers and investment advisers, and four affiliated investment advisers for...more
On November 7, 2023, the Division of Enforcement ("Division") of the United States Commodity Futures Trading Commission ("CFTC") released its annual report of the results of its enforcement efforts, announcing that it had...more
Beginning January 1, 2024, the Corporate Transparency Act (CTA) will require most entities formed or registered to do business in the United States to disclose detailed information regarding their owners, officers, and...more
The Arkansas Department of Energy & Environment – Division of Environmental Quality (“DEQ”) and Drew Foam Companies, Inc. (“Drew”) entered into an October 16th Consent Administrative Order (“CAO”) addressing an alleged...more
The Arkansas Department of Energy & Environment – Division of Environmental Quality (“DEQ”) and The Bryce Company, LLC (“Bryce”) entered into an October 3rd Consent Administrative Order (“CAO”) addressing alleged violations...more
Who may be interested: Registered Investment Companies. Quick Take: The SEC recently settled charges against two credit rating agencies for alleged violations relating to recordkeeping, disclosure and internal controls....more
A California employer recently learned the hard way that a competent legal strategy for defending against a Fair Labor Standards Act (FLSA) claim shouldn’t include hiring a supposed priest to dupe employees. And, yes, that is...more
While the initial swap dealer enforcement actions brought by the Commodity Futures Trading Commission (CFTC) focused on swap data reporting failures, recent enforcement efforts have focused on compliance with business conduct...more
In March 2022, the Oregon legislature passed House Bill (HB) 4002, which imposes new overtime pay requirements for agricultural workers beginning on January 1, 2023. The bill also establishes a refundable tax credit for...more
The SEC and CFTC recently charged 11 large financial institutions and their affiliates for failing to collect, monitor, and preserve communications over WhatsApp and other messaging services. These settlements follow a...more
Last week, the United States Securities and Exchange Commission (SEC) fined 16 Wall Street firms a total of $1.1 billion for recordkeeping violations based on the failure to maintain employees’ electronic communications, such...more
On September 27, the Commodity Futures Trading Commission (“CFTC”) issued orders to settle charges against 11 major U.S. and international financial institutions and their swap dealer (“SD”) and futures commission merchant...more
Following a burgeoning trend across the country, Chicago amended its sexual harassment ordinance with some significant changes on April 27, 2022, and employers should take note. Along with a new and expanded definition of...more
If you weren’t already concerned about the rate of inflation, its effect has produced another blow in the OSHA world. Under the terms of the 2015 Inflation Adjustment Act, the U.S. Department of Labor has once again made the...more
The Arkansas Department of Energy & Environment – Division of Environmental Quality (“DEQ”) and Chapel Hill Memorial Park Cemetery, Inc. d/b/a Chapel Hill Memorial Park Crematory (“Chapel Hill”) entered into a December 13th...more
As California and the U.S. enjoy a surge in the travel industry again, the newly codified Labor Code section 2810.8 sets forth the obligations of California employers with regard to the recall of laid-off employees in many...more
On May 11, 2021, the Centers for Medicare & Medicaid Services (CMS) of the U.S. Department of Health & Human Services published an interim final rule/guidance to establish COVID-19 vaccination requirements for Long-Term Care...more
The Department of Labor has issued new tipping regulations, to take effect on March 1, that make a few significant changes, some of which may be advantageous to hospitality employers....more