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Compliance Recordkeeping Requirements

Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory violations. ... more +
Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory violations.  In response to many corporate scandals evidencing rampant unethical business practices, many nations, including the United States, began passing strict regulatory frameworks aimed at curbing these abuses. Notable pieces of legislation in this area include the U.S. Foreign Corrupt Practices Act (FCPA), Sarbanes-Oxley (SOX), and the U.K. Bribery Act, to name a few. The foregoing statutes and the severe penalties often associated with them form the basis of many modern institutional compliance programs. less -
Amundsen Davis LLC

Illinois Prevailing Wage Update: Failure to Timely File a Certified Payroll Means Individual Liability, Debarment, and Financial...

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The Illinois Prevailing Wage Act (IPWA) is a union-backed law that places enormous burdens on construction contractors, developers, property owners, and public bodies throughout Illinois. It’s extraordinarily confusing,...more

King & Spalding

FINRA Proposes Amendments to The Gifts Rule

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On June 11, 2025, FINRA proposed amendments to Rule 3220 (Influencing or Rewarding Employees of Others) (the “Gifts Rule”) that would raise the annual gift limit per recipient to $250 from $100, as well as codifying...more

Society of Corporate Compliance and Ethics...

Rethinking Records Retention

Mark Diamond wants you to stop thinking of records retention as a chore and start thinking of it as a driver of compliance. In this podcast the President & CEO of Contoural shares that retention schedules have grown in...more

Bracewell LLP

FINRA Facts and Trends: May 2025

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Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. We dedicate...more

Foley & Lardner LLP

Mandatory Roth Catch-up: More than Meets the Eye

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In January, the Department of the Treasury (“Treasury”) and Internal Revenue Service (IRS) issued proposed regulations on the catch-up contribution provisions under the SECURE 2.0 Act of 2022 (“SECURE 2.0”). While the...more

Farella Braun + Martel LLP

Navigating Recent Changes to California Wage and Hour Laws

The recent changes to California’s wage and hour laws have significant implications for employers operating within the state. While the reforms are aimed at providing clearer guidelines for employers, there are still complex...more

Akin Gump Strauss Hauer & Feld LLP

CFTC Acting Chair Caroline D. Pham Announces CFTC’s 30-Day Enforcement Sprint

On February 25, 2025, the U.S. Commodity Futures Trading Commission (CFTC) released an enforcement advisory regarding the impact of self-reporting, cooperation and remediation in enforcement cases (the “Enforcement...more

Snell & Wilmer

Five Things to Know about the DOL’s New VFCP Self-Correction Feature Taking Effect Next Week

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By Amberlee Lapointe On January 14, 2025, the DOL’s Employee Benefits Security Administration (“EBSA”) released updates to its Voluntary Fiduciary Correction Program (“VFCP”), along with a News Release and Fact Sheet...more

Paul Hastings LLP

The CFTC Is “in the Mode to Make Deals” (and Other Updates on the Commission)

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Yesterday, Acting CFTC Chairman Caroline Pham created a two-week window to bring “reasonable settlement offers” to the commission. Based on my conversations with her and others, I believe the CFTC is in “deal mode” and is...more

K&L Gates LLP

Pest Practices: EPA Uses FIFRA to Adopt Additional Operational and Workplace Controls on Ethylene Oxide

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Having adopted stringent air emission controls on commercial sterilizers that use ethylene oxide (EtO), the Environmental Protection Agency (EPA) has now adopted further controls on workplace exposure to EtO, including...more

Davis Wright Tremaine LLP

Reminder: FCC Accessibility Recordkeeping Certification Required by April 1, 2025

On March 3, 2025, the Federal Communications Commission (FCC) released a Public Notice reminding service providers and equipment manufacturers to maintain records documenting compliance efforts to make their technology...more

Woods Rogers

Employers Must Pay Close Attention to Form I-9 Processing

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In today's legal landscape, compliance with immigration laws is crucial for businesses of all sizes. Employers have a legal obligation to verify the employment eligibility of their workers, and one essential aspect of this...more

Goldberg Segalla

Third Circuit Affirms Home Health Care Aides Must Be Paid for Travel Between Clients

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Having to compensate employees for time spent not working can be counterintuitive, but under certain circumstances, it is an employer’s obligation. Recently, the Third Circuit Court of Appeals affirmed a District Court...more

Mitratech Holdings, Inc

Building an HR Tech Stack for Consulting Firms

The need for an effective HR Tech Stack in consulting has never been more critical. With firms competing for top talent, having a well-structured and efficient HR system can make a huge difference....more

Faegre Drinker Biddle & Reath LLP

New Quota Law Coming to Illinois Warehouse Distribution Centers in 2026

In recent years, Illinois has gone the way of states like California and New York by expanding workplace protections for employees. That trend was evident in 2024 with the passage of several laws that took effect on January...more

Morrison & Foerster LLP

ICE Is Knocking – Practical Steps to Prepare and Respond

Since President Trump took office, Immigration and Customs Enforcement (ICE) has intensified immigration enforcement, reportedly arresting and deporting thousands of undocumented immigrants. It is only a matter of time before...more

Harris Beach Murtha PLLC

Top Ten Tips for I-9 Compliance

It is widely expected that enforcement of immigration status and work authorization at the employer level will be a top priority of the federal government over the next four years. On-site visits and audits by agencies,...more

Offit Kurman

Not Keeping Records of Your Purchases and Sales, Location, and Authentication Documents – Implications of Restrictions and...

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The provenance of any item is essential to determining its value. Proper documentation of an item’s history and proof of chain of title help establish authenticity, ensuring the highest fair market value at the time of sale....more

Constangy, Brooks, Smith & Prophete, LLP

“He said, she said” no longer cuts it: Seventh Circuit clarifies proof required for overtime claims

A recent decision from the U.S. Court of Appeals for the Seventh Circuit offers a welcome measure of protection for employers in overtime claims brought under the Fair Labor Standards Act. The court’s opinion highlights the...more

Jackson Lewis P.C.

End of an Era: Cal/OSHA’s COVID Non-Emergency Standard Sunsets

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As of February 3, 2025, most of Cal/OSHA’s COVID-19 Prevention Non-Emergency Standards have officially come to an end. This marks a significant shift for California employers who have been navigating these regulations and...more

Morgan Lewis

Securities Enforcement Roundup – January 2025

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In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from January 2025. In January 2025: The US Securities and Exchange Commission (SEC) announced the...more

Moore & Van Allen PLLC

The Desk - February Edition

January is at least eight weeks – I’m certain of it. Now that it’s February we know who’s running the CFTC and its different Divisions, for the time being. Acting Chair Pham comes to her position with a long history of...more

Tonkon Torp LLP

What the SEC Amendments to Regulation S-P Mean for Your Business

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On May 16, 2024, the SEC adopted amendments to Regulation S-P requiring broker-dealers, registered investment companies, registered investment advisers, funding portals, and transfer agents (collectively, “covered...more

Snell & Wilmer

The “What,” “When,” and “How” of President Trump’s New Tariffs Against Canada, Mexico and China: Developing a Legal and Business...

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1. What? Tariff Rates and Legal Authority - President Trump signed three executive orders imposing new tariffs against Canada, Mexico, and China, following through on prior campaign and post-inauguration promises. While...more

Saul Ewing LLP

Increased Immigration Enforcement Under New Administration: What Employers Need to Know

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The Trump administration is moving swiftly to dramatically increase enforcement of U.S. immigration laws. Among the executive orders signed in the early days of President Donald Trump’s second term are sweeping changes...more

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