News & Analysis as of

Risk Assessment Inspections

Moore & Van Allen PLLC

Balancing Supervision in a Virtual Environment: Key Points of FINRA’s New Voluntary Remote Inspections Pilot Rule

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Securities regulators have long been concerned with the potential regulatory risks associated with geographically dispersed broker-dealer offices, citing the observation that the distance of these offices from compliance and...more

Warner Norcross + Judd

FINRA’s Remote Office Inspection Pilot Program

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FINRA Rule 3110(c)(1) requires broker-dealers to conduct onsite inspections of their offices of supervisory jurisdiction (OSJs), branch offices and non-branch locations. In response to the COVID-19 pandemic, FINRA adopted...more

Ankura

Common PCAOB Inspection Findings and Actions Firms Can Take to Improve Audit Quality and Reduce the Risk of Regulatory Enforcement...

Ankura on

In July 2023, the PCAOB published the spotlight, “Staff Update and Preview of 2022 Inspection Observations.” The article summarized the PCAOB's common findings from its 2022 inspection season. Many of the findings observed in...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

OSHA Proposes Rule to Allow Third Parties to Participate in Workplace Walkaround Inspections

On August 30, 2023, the Occupational Safety and Health Administration (OSHA) published a proposed rule that would change the scope of who would be allowed to participate in walkarounds conducted as part of OSHA inspections. ...more

WilmerHale

PCAOB Releases New Audit Committee Resource

WilmerHale on

The PCAOB recently released a new Audit Committee Resource, which sets forth questions that audit committee members may want to consider incorporating into their ongoing engagement with auditors. The categories of questions...more

Goodwin

FINRA Proposes Remote Inspection Pilot Program

Goodwin on

​​​​​​​FINRA recently proposed amendments to FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year pilot program (Pilot Program) to allow member firms to conduct remote branch office inspections.  In a nod to where...more

Jackson Lewis P.C.

OSHA Targets Restaurant Industries For COVID-19 Inspections

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Restaurants should be on higher alert for potential inspections from the Occupational Safety and Health Administration (OSHA) in light of the agency’s recent Updated Interim Enforcement Response Plan for COVID-19 and National...more

Amundsen Davis LLC

OSHA’s New National Emphasis Program For COVID-19

Amundsen Davis LLC on

In response to an executive order signed by President Biden in January, OSHA recently launched a new national emphasis program focusing enforcement efforts on industries and employers most impacted by COVID-19. The...more

Bradley Arant Boult Cummings LLP

What to Do Before OSHA Comes Knocking with a COVID-19 Inspection

Earlier this year, OSHA issued Guidance on Preparing Workplaces for COVID-19, an educational reference designed to advise employers in all industries on implementing engineering, administrative, and work practice controls and...more

Faegre Drinker Biddle & Reath LLP

FDA to Resume Prioritized Food Facility and Other Domestic Inspections Based on New Risk Assessment System

On July 10, 2020, the U.S. Food and Drug Administration (FDA) announced that it will be restarting on-site prioritized domestic inspections, including food facilities, during the week of July 20 after pausing such inspections...more

Akin Gump Strauss Hauer & Feld LLP

PCAOB Issues 2019 Staff Inspections Outlook For Audit Committees As Part Of Its Outreach

As part of its transparency and outreach initiative to its stakeholders, the Public Company Accounting Oversight Board (“PCAOB” or “Board”) continues to issue staff briefs to better inform the public about how the Board is...more

Holland & Knight LLP

Issue Spotlight: Proper Hazardous Waste Storage and Disposal at Healthcare Facilities

Holland & Knight LLP on

With all of the regulatory obligations that hospitals and other healthcare facilities need to comply with, it might be easy to overlook an environmental law that can lead to significant trouble. Hospitals may find themselves...more

Williams Mullen

Increase in Chemical Security Vulnerability Assessments Likely Under New DHS Standards

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The Department of Homeland Security (DHS) Chemical Facility Anti-Terrorism Standards (CFATS) program identifies and regulates high-risk chemical facilities to ensure that security measures are in place to reduce the risk of...more

Thomas Fox - Compliance Evangelist

Four Things Compliance Practitioner Should Know About the Eurasian Economic Union

Four Things Compliance Practitioner Should Know About the Eurasian Economic Union - An effective Compliance risk management at emerging markets for any business significantly depends on timeous observation of changes in...more

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