Employers and their benefit administrators have more detail and a more convenient way to submit “top 50” lists and other data - but no more time to comply with - daunting prescription drug cost reporting requirements in the...more
Over the past few years many of you may have read my blog regarding having a checkup for you and, if you have one, your business. This does not involve seeing a doctor, but it does involve all the other professionals in your...more
As 2019 comes to an end, we are happy to present our traditional End of Year Plan Sponsor “To Do” Lists. This year, we present our “To Do” Lists in four separate Employee Benefits Updates. Part 1 covered year-end health and...more
As 2019 comes to an end, we are pleased to present our traditional End of Year Plan Sponsor “To Do” Lists. This year, we present our “To Do” Lists in four separate Employee Benefits Updates. Part 1 covered health and welfare...more
As the end of the year approaches, reporting companies should be aware of the various SEC filing deadlines for 2020. Companies also should be mindful of the 2020 financial statement “staleness” dates, the deadlines by which...more
Over the past few years if you have read my blog, you may have read about having a checkup for you and - if you have one - your business. This does not involve the doctor, but it does involve all the other professionals in...more
As the end of the year approaches, reporting companies should be aware of the various SEC filing deadlines for 2019. Companies also should be mindful of the 2019 financial statement “staleness” dates, the deadlines by which...more
Over the past few years many of you probably read my blog regarding having a checkup for you and your business. This does not involve the doctor, but it does involve all the other professionals in your personal and business...more
The Executive Director of the Oregon Liquor Control Commission is spreading good cheer this holiday season by issuing a “Winter Holiday Checklist” to all recreational marijuana licensees. The Checklist includes a list of...more
Plan administrators should review the following actions to be taken before the end of 2017 and focus on what to expect for 2018. The attached checklist addresses plan amendments, notices and other considerations for qualified...more
Compliance officers have to avoid complicating a compliance program. As in many areas in life, there is a value in simplicity. Take for example a compliance training presentation. If a compliance officer overwhelms his/her...more
As reported in Part 1 of our 2016 End of Year Plan Sponsor “To Do” List, Section 6039 of the Code requires employers to provide a written information statement to each employee or former employee and file information returns...more
As 2016 comes to an end, we are pleased to present you with our traditional End of Year Plan Sponsor “To Do” Lists. Like last year, we are presenting our “To Do” Lists in three separate Employee Benefits Updates. Part 1 of...more
As the end of the year approaches, reporting companies should be aware of the various SEC filing deadlines for 2017. Companies also should be mindful of the 2017 financial statement “staleness” dates (when financial...more
Summary of private equity firms’ compliance obligations, discussion of notable developments in 2015 and outlook for 2016. US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs),...more
The SEC recently settled an enforcement action against an investment advisor, Parallax Investments LLC, its owner and its Chief Compliance Officer, finding that metadata in the CCO’s annual compliance memorandum contradicted...more
This week, ethics and compliance departments at organizations across the country will celebrate Corporate Ethics and Compliance Week, an opportunity to highlight the essential connection between business integrity and ethics....more
Later this year, the Department of Health and Human Services (“DHHS”) is expected to launch its permanent HIPAA Audit Program. The HIPAA Audit Program is authorized under Section 13411 of the HITECH Act, and is designed to...more
While most of the financial world has been focused on the new CFPB mortgage rules that went into effect on January 10, the Bureau has continued its enforcement activities in other areas. On January 16, 2013, the CFPB...more
1. Compliance Procedures. Have you updated your written policies and procedures for each of your products or services to encompass the new rules and regulations? Once updated, have you provided copies to your employees? Have...more
As the end of the year and year-end holiday season approach, so do annual bonus time and paid holidays. Employers should avoid some common wage and hour pitfalls with bonuses and paid holidays. The first common pitfall is not...more
As 2013 comes to an end, we are pleased to present you with our traditional End of Year Plan Sponsor “To Do” Lists. This year, we are presenting our “To Do” Lists in three separate Employee Benefits Updates. Part one of the...more
In 2013, many different changes in the law impacted group health plans and arguably, even more changes will occur in 2014. The following is an overview of a few of the key compliance issues that occurred in 2013 which should...more