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Searching Content from United States indexed under Compliance ordered by Published Date Descending.
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1
CFTC Grants CPO Delegation Relief To Unaffiliated Entities - September 14, 2018
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") affirmed that it would not recommend any enforcement action against several commodity pool operators ("CPOs") for failing to register as a CPO.
United States
23 Sep 2018
2
FINRA Urges Firms To Review Contracts With Recordkeeping Service Providers
FINRA advised firms using third-party recordkeeping service providers ("providers") to ensure that contracts comply with recent guidance issued by the SEC Division of Trading and Markets staff.
United States
23 Sep 2018
3
OFCCP Issues Directive Announcing "Affirmative Action Program Verification Initiative"
OFCCP has issued a new Directive, announcing its intention to develop an Affirmative Action Program Verification Initiative
United States
21 Sep 2018
4
The Nickel Report: EPA Announces Shift From National Enforcement Initiatives To National Compliance Initiatives
As a former regulator (both as an inspector and an attorney, ensuring compliance and enforcing violations) in the environmental law enforcement space
United States
20 Sep 2018
5
SEC Charges Broker For Misusing Access To Customers' Brokerage Accounts
The SEC filed charges against a New Jersey-based broker for allegedly misusing his access to customers' brokerage accounts to enrich himself and two of his family members at the expense of his customers.
United States
17 Sep 2018
6
8 Best Practices For Managing U.S. Immigration Compliance In 2018 (Part 2 Of 5)
In this five-part series, we highlight three important USCIS policy changes and provide eight best practice tips in light of the ever-tightening U.S. immigration environment.
United States
17 Sep 2018
7
New York State And New York City Issue New Compliance Mandates To Address Sexual Harassment
The clock is ticking for all employers in the Empire State, who now have less than a month to meet stringent New York requirements for preventing sexual harassment.
United States
16 Sep 2018
8
Banking Regulators Say Supervisory Guidance Is Not A Basis For Enforcement Actions
Five federal regulators affirmed that the agencies will not take enforcement action based on supervisory guidance, as supervisory guidance does not "have the force and effect of law."
United States
13 Sep 2018
9
Avoiding Unexpected Liability For Former Employees' Medical Expenses
While the facts of the case are admittedly unusual, the outcome is still instructive for employers.
United States
13 Sep 2018
10
8 Best Practices For Managing U.S. Immigration Compliance In 2018 (Part 1 Of 5)
In this five-part series, we highlight three important USCIS policy changes and provide eight best practice tips in light of the ever-tightening U.S. immigration environment.
United States
13 Sep 2018
11
Check Your Mailbox! OFCCP Just Sent 750 Corporate Scheduling Announcement Letters
OFCCP's announcement points contractors to a new answer to a frequently asked question on requesting an extension for submission of AAPs and supporting data.
United States
12 Sep 2018
12
Employers Beware: New EU Data Law May Impact Employee Benefits
May 25, 2018 was the compliance enforcement deadline for the EU's General Data Protection Regulation (GDPR), which governs the collection, use and storage of private information of EU residents. U.S.-based companies should not assume that GDPR does not apply to their U.S.-based benefit plans.
United States
12 Sep 2018
13
Significant Compliance Challenges In New York State's Proposed Anti-Sex Harassment Rules: What Can Employers Do Now?
As addressed in our previous ASAP, New York State enacted new legislation in April 2018 targeting workplace sex discrimination and sexual harassment.
United States
11 Sep 2018
14
New York State Employers Take Note!!! Compliance With New Sexual Harassment Law Required By October 9, 2018
As described in a previous blog post, New York's 2019 Budget created significant new responsibilities for employers in the state with respect to sexual harassment prevention
United States
11 Sep 2018
15
The Department Of Labor Wants To Hear From Employers About Planned Changes To The Overtime Rules
During the month of September, the Department of Labor will be holding a series of "Listening Sessions" throughout the country in order to hear public comments about planned changes to the overtime rules under the Fair Labor Standards Act.
United States
11 Sep 2018
16
How AI Shapes The Future Of Wealth Management
We are on the cusp of a revolution. While wealth managers have used computers to streamline complex analysis and to simplify customer service, the next wave of computational tools is already upon us.
United States
10 Sep 2018
17
Supreme Court Narrows Whistleblower Definition Under Dodd-Frank: Now Are Your Company's Compliance Systems In Order?
On February 21, 2018, the U.S. Supreme Court ruled that "Dodd-Frank's anti-retaliation provision does not extend to an individual, like Somers, who has not reported a violation of the securities laws to the SEC."
United States
10 Sep 2018
18
Reminder For NYC Employers: Sexual Harassment Compliance Begins Tomorrow!
Now that Labor Day is behind us, we are looking ahead to the various compliance deadlines facing New York State and New York City employers this fall.
United States
9 Sep 2018
19
New York State Publishes Draft Model Sexual Harassment Materials
All model materials are currently in draft form, pending a comment period set to end on September 12, 2018.
United States
9 Sep 2018
20
Federal Register: CFTC Amends Rules Governing CCO Duties And Annual Report Requirements
CFTC amendments to rules concerning chief compliance officer ("CCO") duties and certain annual report requirements were published in the Federal Register.
United States
9 Sep 2018
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