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Category Archives: CEO
CG TechNology Nailed For $12M For Bank Secrecy Act Money Laundering Violations
The $12 million FinCEN civil money penalty (CMP) imposed against CG Technology, L.P., doing business as Cantor Gaming, reminds gaming and other U.S. regulated businesses of the importance of maintaining and administering appropriate policies and practices to comply with the anti-money laundering … Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, Data Security, Director Liability, Director Liabiloity, E&O, Risk Management, Uncategorized
Tagged bank secrecy act, Corporate Compliance, Corporate Governance, Federal Sentencing Guidelines, Foreign Corrupt Practices Act, money laundering, patriot act
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Data Breach & Cyber Securities & Investor Risk Management
Corporations and their leaders to add reviewing prospectus and investor cyber security and data breach disclosures to their data breach and cyber security risk management and response to do lists help guard against post event shareholder claims and regulator investigations. … Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, D&O, Data Security, Director Liability, Director Liabiloity, E&O, Employee Benefits, Employment, Fiduciary Responsibility, Fraud, Internal Controls, Officers, Officers Liability, Risk Management, Shareholder Liability, Turnaround Management, Uncategorized
Tagged Fiduciary Liability, Officers and Directors Liability, Securities, Shareholder, Shareholder Derivative Claims
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Hone Workforce Management By Making Your HR The “Performance Department”
Want to get your hr function to better support your business? You might want to start by replacing your “People Department” with a “Performance Department.” Continue reading
Posted in Bankruptcy, CEO, CFO, Compliance, Performance Management, Reengineering, Teaming, Workforce Management
Tagged Benefits, compensation, Employee, Employer, management, Performance Management, Workforce
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10 Practical Pointers To Use Law To Better Strengthen The Legal Defensibility Of Your Business & Its Leaders
Businesses and their leaders struggling to managing the ever-changing and constantly growing regulatory and other legal risks inherent in operating a business in today’s litigation and enforcement-charged environment often miss invaluable opportunities by failing to take certain basic steps that strengthen their liability defenses and the effectiveness of their risk management and compliance efforts.
While each organization and leader needs to carefully tailor its organizational risk management and compliance programs to meet the unique needs and challenges of its operations, all risk management and compliance efforts generally should incorporate and operate on at least each of the following 10 Corporate Governance processes:
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Posted in Bankruptcy, Board of Directors, CEO, CFO, Compliance, D&O, Data Security, Deferred Compensation Plans, Director Liability, Director Liabiloity, Employee Benefits, Employment, Fiduciary Responsibility, Fraud, Health Plans, Internal Controls, Labor Relations, M&A, Officers Liability, Privacy, Reductions In Force, Reengineering, Retirement Plans, Risk Management, Shareholder Liability, Stock Plans, Tax, Turnaround Management
Tagged Attorney-Client Privilege, Board of Directors, CEO, CFO, Compliance, Compliance Plan, Corporate Compliance, Corporate Governance, Fiduciary Liability, General Counsel, Internal Control, Risk, Risk Management
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IRS Guidance On Section 1446 Withholding Tax On Foreign Individual Partners Released
The Internal Revenue Service is publish a clarifying correction to fix potentially misleading information in its final regulations for reporting and withholding of foreign income by foreign financial institutions for 2014. As corrected, the correction with provide, “With respect to … Continue reading
Posted in CEO, Director Liabiloity, Employee Benefits, Employment, Fiduciary Responsibility, Health Plans, Tax
Tagged CFO, Compliance, fianance, Fiduciary Liability, Fiduciary Responsibility, health care reform, health insurance, health plans, Human Resources, Officers & Directors, risk managmenet
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Money Services Business Pays $45K CMP For Violating BSA Reporting Requirements
Mian, Inc., doing business as Tower Package Store, a money services business (MSB) is learning an expensive of the risks of failing to report cash transactions and other anti-money laundering (AML) requirements of the Bank Secrecy Act (BSA). It’s paying … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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FFI List Search and Download Tool Added To FATCA Website
The FFI List Search and Download Tool located on the FATCA Website is now available. Use the Search and Download Tool to find out if a Foreign Financial Institution (FFI) has registered. Download an entire list of Financial Institutions or … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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June 16 Deadline Nears for Taxpayers Living Abroad; June 4 IRS Webinar Can Help Those Reporting Foreign Accounts
Taxpayers abroad qualifying for an automatic two-month extension must file their 2013 federal income tax returns by Monday, June 16, according to the Internal Revenue Service. The June 16 deadline applies to U.S. citizens and resident aliens living overseas, or … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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IRS Releases Stats on Taxpayers Earning More Than $200K
The Internal Revenue Service today announced the spring 2014 issue of the Statistics of Income Bulletin is now available, featuring information on high-income individual income tax returns filed for tax year 2011. The Spring 2014 Statistics of Income Bulletin just … Continue reading
Posted in CEO, Director Liabiloity, Employee Benefits, Employment, Fiduciary Responsibility, Health Plans, Tax
Tagged high income taxpayers
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J.P. Morgan Chase Hit For $461M For Madoff-Related Bank Secrecy Act Violations
The Financial Crimes Enforcement Network (FinCEN) today fined J.P. Morgan Chase Bank, N.A. $461 million for willfully violating the Bank Secrecy Act (BSA) by failing to report suspicious transactions arising out of Bernard L. Madoff’s decades-long, multi-billion dollar fraudulent investment … Continue reading
Posted in CEO, Director Liabiloity, Employee Benefits, Employment, Fiduciary Responsibility, Health Plans, Tax
Tagged 501(c)(3), bank secrecy act, CFO, Compliance, corporate tax, FATCA, fianance, Fiduciary Liability, Fiduciary Responsibility, financial crimes, FinCEN, fraud, health care reform, health insurance, health plans, Human Resources, International, investment fraud, money laundering, Officers & Directors, patriot act, risk managmenet, Tax Exemption
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IRS Shares Procedures To Seek Tax-Exemption Reinstatement For Non-Filers
Tax-exempt organizations that fail to file required returns on a timely basis risk losing their tax exemption under Section 6033(j) of the Internal Revenue Code (Code). Revenue Procedure 2014-11 provides potential opportunities for reinstatement through timely and appropriate action. It … Continue reading
Posted in CEO, Director Liabiloity, Employee Benefits, Employment, Fiduciary Responsibility, Health Plans, Tax
Tagged 501(c)(3), CFO, Compliance, corporate tax, FATCA, fianance, Fiduciary Liability, Fiduciary Responsibility, health care reform, health insurance, health plans, Human Resources, International, Officers & Directors, risk managmenet, Tax Exemption
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IRS Reminds Financial Institutions About Foreign Account Reporting Requirements
Financial institutions creating accounts and entering registration information on the Internal Revenue Service (IRS) FATCA registration website about certain steps that they will need to take on or after January 1, 2014 — as originally announced in IRS Notice 2013-43. Announcement 2014-1 reminds financial institutions to act to meet the requirements and also provides general information concerning anticipated publication dates of final qualified intermediary (QI), withholding foreign partnership (WP), and withholding foreign trust agreements (WT). Continue reading
Posted in CEO, Director Liabiloity, Employee Benefits, Employment, Fiduciary Responsibility, Health Plans, Tax
Tagged CFO, Compliance, corporate tax, FATCA, fianance, Fiduciary Liability, Fiduciary Responsibility, health care reform, health insurance, health plans, Human Resources, International, Officers & Directors, risk managmenet
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Justice Department ADA, Fair Housing Disability Discrimination Settlement with Design Professionals Highlights Growing Disability Discrimination Exposures
A settlement announced May 16, 2013 reminds U.S. housing and other businesses of their growing exposure to disability discrimination claims. Justice Department Nails Architects & Engineers For Disability Discrimination On May 16, 2013, the Justice Department announced a $865,000 settlement … Continue reading
Update ESOPs For New Investment Diversification Guidance
Fiduciaries, administrators, sponsors, advisors, trustees and others with involvement or responsibility for Employee Stoc Option Plans(ESOPs) should review these rules and ensure that appropriate steps are taken to update their plan terms and practices to comply with new rules scheduled to be published in the Internal Revenue Bulletin on May 13, 2013 by the Internal Revenue Service concerning investment diversification.
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Posted in CEO, D&O, Deferred Compensation Plans, Director Liabiloity, Employee Benefits, Employment, ESOP, Health Plans, Internal Controls, Officers, Reengineering, Retirement Plans, Stock Plans, Tax
Tagged company stoc, Deferred compensation, diversification, ESOP, investment, Retirement Plan, Risk Management, stock
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Health Care Reform Adds New Cost Implications To Already Hot Worker Misclassification Risks
Businesses using non-employee workers should heed the recently announced expansion of the Internal Revenue Service (IRS) Voluntary Classification VCS Program (VCS Program) as yet another warning to clean up their worker classification practices and defenses for all workers performing services … Continue reading
Posted in CEO, Director Liabiloity, Employee Benefits, Employment, Fiduciary Responsibility, Health Plans, Tax
Tagged CFO, Compliance, fianance, Fiduciary Liability, Fiduciary Responsibility, health care reform, health insurance, health plans, Human Resources, Officers & Directors, risk managmenet
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13 Tips To Help Business Cope With Health Care Reform Now!
Since the Supreme Court’s June 28, 2012 National Federation of Independent Business v. Sebelius health care reform ruling upholding the “pay or play” mandates of the Patient Protection & Affordable Care Act (ACA), most business leaders, plan fiduciaries, health insurers, administrators of employment-based … Continue reading
Posted in CEO, Director Liabiloity, Employee Benefits, Employment, Fiduciary Responsibility, Health Plans, Tax
Tagged CFO, Compliance, fianance, Fiduciary Liability, Fiduciary Responsibility, health care reform, health insurance, health plans, Human Resources, Officers & Directors, risk managmenet
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FTC Settlement With Mobile Device & App Developer Shows Developers & Businesses Need To Manage Mobile App & Data Security
Businesses using mobile devices or applications and the mobile device or other technology developers and providers need to get serious about security. With technology and other business providers use of mobile applications in marketing and other business uses proliferating, the … Continue reading
Posted in CEO, D&O, Data Security, Director Liabiloity, Employee Benefits, Employment, Health Plans, Internal Controls, Officers, Privacy, Reengineering
Tagged data breach, Data security, FTC, Privacy, techology
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Texas Champion Bank Settlement of Charges of Illegal Lending Discrimination Reminder To Business To Tighten Business Practices
A Justice Department settlement with Texas Champion Bank of Alice, Texas is the latest reminder to U.S. lenders and other businesses of the importance of ensuring that their lending and other business practices are defensible under defensible under U.S. discrimination … Continue reading
Posted in CEO, D&O, Director Liabiloity, Employee Benefits, Employment, Health Plans, Internal Controls, Officers, Reengineering
Tagged ADA, EEOC, GINA, OFCCP, Rehabilitation Act, Risk Management
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Food Allergies May Be Disabilities Requiring Accommodation Under The ADA
The Justice Department’s recently Lesley University Settlement (Settlement) announced by the Justice Department on December, 21, 2012 should be a reminder to employers and others covered by the Americans With Disabilities Act (ADA) of the potential advisability of establishing policies or … Continue reading
Posted in CEO, D&O, Director Liabiloity, Employee Benefits, Employment, Health Plans, Internal Controls, Officers, Reengineering
Tagged ADA, EEOC, GINA, OFCCP, Rehabilitation Act, Risk Management
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12/31 Hiring Deadline To Claim Work Opportunity Tax Credit For Hiring Vets
U.S. businesses planning to hire for positions that veterans qualify for might want to make their hiring decision by December 31, 2012 to take advantage of a possible opportunity to receive a Work Opportunity Tax Credit. Employers planning to claim an … Continue reading
Posted in Bankruptcy, CEO, Director Liabiloity, Employee Benefits, Employment, Fiduciary Responsibility, Internal Controls, Labor Relations, M&A, Officers, Reductions In Force, Reengineering, Tax, Turnaround Management
Tagged Bankruptcy, change management, Corporate Taxes, Employer, employment, ERISA, Hiring, Human Resources, Labor-Management, management, mergers, Officer liability, reduction in force, reductions in force, Reengineering, RIF, shut down, Tax Credit, turn around, turn around management, unfair labor practices, union
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RIFS & Other Workforce Changes Require Careful Legal & Operational Management
Hotel Bel-Air Gets Labor Gocha When Offering Severance A National Labor Relations Board (NLRB) decision that nails Hotel Bel-Air (Hotel) for offering severance packages to unionized workers highlights one of a range of potentially costly missteps that businesses conducting reductions … Continue reading
Posted in Bankruptcy, CEO, Director Liabiloity, Employee Benefits, Employment, Fiduciary Responsibility, Internal Controls, Labor Relations, M&A, Officers, Reductions In Force, Reengineering, Tax, Turnaround Management
Tagged Bankruptcy, change management, ERISA, Human Resources, Labor-Management, management, mergers, Officer liability, reduction in force, reductions in force, Reengineering, RIF, shut down, turn around, turn around management, unfair labor practices, union
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Brace For New Disability Discrimination Claims In Response To October, 2012 Disability Awareness Month Celebrations
President Obama’s declaration today (October 1, 2012) of October as National Disability Employment Awareness Month reminds business that U.S. businesses and their leaders need to tighten their disability discrimination risk management and compliance in light of the Obama Administration’s emphasis on … Continue reading
Posted in CEO, D&O, Director Liabiloity, Employee Benefits, Employment, Health Plans, Internal Controls, Officers, Reengineering
Tagged ADA, EEOC, GINA, OFCCP, Rehabilitation Act, Risk Management
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Disability Exposures Big US Business Risk; New DOD App Helps ID Resources
Businesses and individuals looking to find solutions to help accommodate persons with disabilities may find a new free app for Apple Devices from the Department of Defense (DOD) Computer/Electronic Accommodations Program helpful. The new application now available in the iTunes App store … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Disability Discrimination, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Personal Consumer Information Protection in Hospital/Healthcare Setting At HIMSS November 11
Stamer Speaks on “PCI In the Hospital/Healthcare Setting” on 11/1 in LA Cynthia Marcotte Stamer will speak on “PCI In The Hospital/Healthcare Setting” at the Privacy and Security Forum in Los Angeles, CA on Thursday, November 1. About The Program … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, Data security, directors liability, Disability Discrimination, Employer, employment, facebook, FACTA, Federal Sentencing Guidelines, health care, HIPAA, Internal Controls, labor law, linkedin, NLRB, officers liability, PCI, personal consumer information, Privacy, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Obama Administration Continues War On Management Despite NLRB’s Tempoary Setback In Suit Against Arizona Secret Ballot Law
Businesses concerned about Obama Administration-backed efforts to promote its pro-labor agenda must stay diligent. Although a U.S. District Court judge in Arizona this week rejected a bid by the National Labor Relations Board (NLRB) to have an Arizona state constitutional amendment requiring secret balloting in union organizing campaigns invalidated as preëmpted by the National Labor Relations Act (NLRB) on its face, the Court left the door open for a potentially successful challenge to the Arizona secret ballot amendment in the future depending on how Arizona applies the law. Furthermore, considered in the context of the Obama Administration’s broader pro-union regulatory and enforcement agenda, the NLRB’s challenge to the Arizona and other state secret ballot laws reminds businesses that their operation face a minefield of mounting labor-management relations risks. In light of these expanding exposures, business leaders should update their policies and practices to mitigate the rising risks while keeping a close eye on the Obama Administration’s ongoing effort to expand the power of organized labor by challenging secret ballot mandates in Arizona and other states and the plethora of other pro-union regulatory and enforcement efforts.
Posted in Bankruptcy, CEO, Director Liabiloity, Employment, Internal Controls, M&A, Reengineering, Uncategorized
Tagged Compliance, Employer, Human Resources, Labor-Management, NLRA, NLRB, Reengineering, Risk Managment, union
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Companies, Officers, Directors, Fiduciaries & Vendors Urged To Confirm ERISA Credentials & Bonding For Internal Staff, Plan Fidiciaries, Vendors Dealing With Benefits
Businesses sponsoring employee benefit plans and officers, directors, employees and others acting as fiduciaries with respect to these employee benefit plans should take steps to confirm that all of the appropriate fiduciary bonds required by the Employee Retirement Income Security Act of … Continue reading
12 Steps Every Business With Employee Health Plan Should Do Now To Manage Risks & Liabilities
While most employer and union health plan sponsors, fiduciaries and administrators are bracing to cope with “pay or play” and other mandates of the Affordable Care Act in 2014, many employer and other health plan sponsors are failing to take steps necessary now to manage already accruing exposures and costs arising from mandates applicable to their health plans under the Affordable Care Act and other federal regulations and to prepare to meet upcoming responsibilities.
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Posted in CEO, Director Liabiloity, Employee Benefits, Employment, Fiduciary Responsibility, Health Plans, Tax
Tagged CFO, Compliance, fianance, Fiduciary Liability, Fiduciary Responsibility, health care reform, health insurance, health plans, Human Resources, Officers & Directors, risk managmenet
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Businesses Looking For Investment Without Registration Should Ensure Accredited Investor & Other Security Practices Up-To-Date
Public companies trading on national securities exchanges may need to update proxy disclosures on the use of consultants and adjust Board compensation committee practices in response to new rules implementing Section 10C of the Securities and Exchange Act (SEC) enacted as … Continue reading
IRS Shares Model Section 83(b) Election Language; Execs & Companies Should Use Care When Handling Tax, Other Compensation Matters
New model notice to help Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Record $10M Plus Housing Disability Discrimination Settlement Shows Disability Exposures Big US Business Risk
A $10,250,000 settlement announced by the Justice Department today (June 25, 2012) with JPI Construction L.P. (JPI) and six other JPI firms is the largest-ever disability-based housing discrimination settlement discriminated. The settlement resolves Justice Department charges the JPI and its affiliates illegally discriminated on the … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Disability Discrimination, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Cynthia Marcotte Stamer
slproc.com 
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