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FinCEN Beneficial Owner Reporting Must be Completed by January 13 for pre-2024 Companies On December 23, 2024, the 5th Circuit Court of Appeals lifted the injunction that stayed the enforcement of the Corporate Transparency Act put into place by a federal judge in Texas.  The result is that if you are required to file a […]

Internal investigations play a pivotal role in maintaining a productive workplace and reducing a business’s potential liability. However, to reap these benefits, it is equally important to know how to write a factual, solid, representative report of an internal investigation that will withstand scrutiny and provide appropriate information for future reference in a litigation or […]

The Environmental Protection Agency (EPA) continues to advance its regulatory agenda for per- and polyfluoroalkyl substances, better known as PFAS. On April 9, 2024, the agency published an updated “Interim Guidance on the Destruction and Disposal of Perfluoroalkyl and Polyfluoroalkyl Substances and Materials Containing Perfluoroalkyl and Polyfluoroalkyl Substances.” According to the EPA, the updated guidance […]

All Entities Must Take Action! This new federal law requires most entities to file a “beneficial owner report” with the Financial Crimes Enforcement Network (FinCEN).  If you are an owner of or control an entity that is not one of the 23 types of entities exempt from this requirement, you are required to file the […]

The Securities and Exchange Commission (SEC) recently published its enforcement results for FY2022... The Securities and Exchange Commission (SEC) recently published its enforcement results for FY2022. This report is a valuable compliance resource for regulated entities and General Counsels and CCOs, who can learn a great deal from the cases that the Enforcement Division pursues […]

NYC businesses should be aware that the City’s new biometric privacy ordinance is now in effect… New York City businesses should be aware that the City’s new biometric privacy ordinance is now in effect. So, if you are not yet in compliance, the time to act is now. Under New York City’s biometric privacy ordinance, […]

The SEC recently unanimously approved a Final Rule that significantly modernizes the current advertising and cash solicitation rules for registered investment advisers… The Securities and Exchange Commission (SEC) recently unanimously approved a Final Rule that significantly modernizes the current advertising and cash solicitation rules for registered investment advisers (RIAs). Neither rule had changed much since the […]

Prior to re-opening your firm after COVID-19, now is the time for “after-action risk assessments” (“AARAs”)… Most enterprises and institutions were caught flat-footed by the COVID-19 pandemic despite their Business Continuity or Disaster Recovery Plans (“BCPs” and “DRPs”). Now is the time for “after-action risk assessments” (“AARAs”), prior to re-opening, so that your firm’s step […]

Are your cybersecurity practices up to snuff? The SEC has made cybersecurity one of its top examination priorities… The Securities and Exchange Commission (SEC) has made cybersecurity one of its top examination priorities for securities and financial organizations and participants.  The SEC’s Office of Compliance Inspections and Examinations’ (OCIE) cybersecurity initiative was designed to assess […]

When Launching an App, Marketing Legal Pitfalls are Unfortunately Common… For app developers, bringing an app to market is exciting. But it’s still important to check all of your “compliance” boxes before releasing your app to users. Marketing legal pitfalls are common and can quickly erase any revenue generated by your app. Meeting Truth-in-Advertising Requirements […]

Even the most successful and well-managed business is not immune to compliance failure. Whether it's a data breach that could have been prevented or an employee complaint that was mismanaged, companies should always view missteps as a learning opportunity. After all, that’s the most effective way to prevent similar mistakes in the future.

As Compliance Deadline Approaches, NY DFS Publishes Cybersecurity FAQs The New York Department of Financial Services’ (DFS) cybersecurity regulations took effect on March 1, 2017, and the first compliance deadline is fast approaching. To help with compliance, DFS recently published answers to several frequently asked questions (FAQs). These cybersecurity FAQs should be considered a “must […]