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Category Archives: Compliance
DOJ Housing Enforcement Reminds Businesses Sexual Harassment Protections Don’t Just Protect Employees
Justice Department settlement reminds housing and other businesses sexual harassment risks exist beyond employment. Continue reading
ChatGPT and Other AI Tools Use As Discoverable Evidence in Litigation and Government Investigations: What Business Leaders Must Know
Use of AI can have significant evidence, document retention, and other consequences for organizations and their legal exposure. Organizations in their leaders need to manage the use of AI to manage these risks and obligations. Continue reading
Posted in AI, Board of Directors, CEO, CFO, Compliance, Cyber, Director Liability, discrimination, Document Retention, E&O, Employee Benefits, Employment, Evidence, Fiduciary Responsibility, FinCEN, Fraud, Internal Controls, Labor Relations, management, Officers, Officers Liability, Performance Management, Regulatory Affairs, Risk Management, Securities, sentencing guidelines, Uncategorized, Workforce
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4/24 Deadline To Respond To On DOJ/FTC Invite For Comments on Antitrust Policy
Comment on DOJ/FTC antitrust rules on competitor collaborations by 4/24 Continue reading
Justice Department Intervention Shows Commitment To ADA Website Accessibility Rule Enforcement
The Department of Justice intervention and private litigation warn public and private organizations to prioritize ADA accessibility, warning of potential enforcement actions if websites violate accessibility standards. Continue reading
$11 Millon FCA Settlement Warns Federal Contractors & Grant Recipients To Ensure Fulfillment Of Cybersecurity Requirements
The $11 million plus False Claims Act settlement that Health Net Federal Services Inc. (“HNFS”) and its corporate parent Centene Corporation recently reached with the Justice Department warns all federal government contractors, subcontractors and grant recipients (“federal contractors”) to ensure they can demonstrate their own organizations’ compliance with cybersecurity requirements applicable to their contracts, grants, and program conditions of participation. Continue reading
Posted in Compliance, Cyber, Government Contractor
Tagged business, Cyber Security, news, security, technology
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Public Companies Warned To Disclose Cyber Risks By $7 Million SEC Penalty
The $7 million in penalties the Securities and Exchange Commission (“SEC”) collected from four current and former public companies warns other public companies and their leaders of the growing risks of making materially misleading disclosures regarding cybersecurity risks and intrusions … Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, Cyber, D&O, data breach, Data Security, Director Liability, Director Liabiloity, FinCEN, Internal Controls, Leadership, management, Officers, Officers Liability, Performance Management, Privacy, Privacy, Risk Management, SEC, sentencing guidelines, Uncategorized
Tagged Compliance, cybersecurity, Data security, directors liability, Federal Sentencing Guidelines, Internal Controls, officers liability, Risk Management, Sarbanes-Oxley, Securities, solar winds, Sox
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Sex Harassment Lawsuit Against Landlord Reminder Federal Discrimination Bans Apply To Housing, Other Business Ops Beyond Employmenr
A new Fair Housing Act sexual harassment lawsuit filed against the owner and operator of rental properties in the Pulaski County, Kentucky area reminds business owners and leaders that sexual harassment and other federal civil rights and other discrimination and … Continue reading
New DOJ Voluntary Self-Disclosure Policy Alerts Organizations To Strengthen Sentencing Guideline Compliance Programs
Since the Federal Sentencing Guidelines are key determinants on the criminal liability and sentencing of organizations and their leaders for federal crimes committed by their organization or their employees, organizations and their leaders need to clearly understand the multitude of laws that could trigger their application and the practices necessary to position themselves and their organizations to mitigate liability in the event of a potential criminal violation. Continue reading
Posted in agriculture, antitrust, bank secrecy act, Bankruptcy, Board of Directors, CEO, CFO, Compliance, Cyber, D&O, Director Liability, Director Liabiloity, Employee Benefits, Employment, Fair Debt Collection Practices Act, Fair Debt Collections Act, fda, Fiduciary Responsibility, Government Contractor, Internal Controls, management, Officers, Officers Liability, Reductions In Force, Risk Management, Securities, sentencing guidelines, Tax, Uncategorized, Workforce Management
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Automobile & Other Motor Vehicle Businesses Must Prepare For New FTC Rules
Automobile and other impacted motor vehicle businesses (“should begin preparations to comply with newly proposed Federal Trade Commission rules targeting certain motor vehicle seller’s marketing, sales, leasing and financing practices set forth in the recently published FTC Motor Vehicle Dealers Trade Rule Notice of Proposed Rulemaking (“Proposed Rule”) as well as submit any relevant comments on the Proposed Rule by the September 12, 2022 comment deadline. Continue reading
DOJ Civil Cyber-Fraud Initiative Pressures Federal Contractors & Grant Recipients To Tighten Cybersecurity Controls, Training & Other Safeguards
Federal contractors and grant recipients face heightened need to fix cyber security and data breach compliance as targeted by new Justice Department Civil Cyber-Fraud Initiative. Continue reading
Posted in bank secrecy act, Board of Directors, Compliance, Cyber, data breach, Director Liability, Fair Debt Collection Practices Act, Fair Debt Collections Act, Fraud, Government Contractor, Internal Controls, Labor Relations, Leadership, Officers, Officers Liability, patriot act, Performance Management, Privacy, Privacy, Uncategorized
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College Board Antitrust Settlement Warning To Other Associations About Anti-Competitive Policies & Practices
The National Association for College Admission Counseling and its member organizations (“NACAC”) will eliminate and no longer enforce a series of requirements historically limiting the ability of colleges and universities (“colleges”) to compete for the recruitment of first-year and transfer students long included in the NACAC’s Code of Ethics and Professional Practices ( “Ethics Rules”) under a proposed agreement reached with the Justice Department to settle a civil antitrust lawsuit that charged the NACAC and its members with violating the antitrust rules. Along with eliminating barriers that previously limited competition among colleges for new and transfer students, the lawsuit and its settlement provide an important reminder to other associations and their members about the need to ensure contracts, codes of conduct or other policies or practices don’t improperly fix prices or bids, allocate market share or otherwise restrict or prohibit competition among competitors. Continue reading
Posted in antitrust, Compliance, Internal Controls, Uncategorized
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Live Nation & Radio Music License Committee Targeted In Justice Department Antitrust Activity
Justice Department entertainment industry enforcement action to protect ticketholders & competitors highlights new general antitrust enforcement activism Continue reading
Posted in antitrust, Compliance, Cyber, Data Security, Fair Debt Collection Practices Act, Fair Debt Collections Act, Fraud, Internal Controls, marketing, Privacy, Risk Management, Uncategorized
Tagged Compliance, Employer, Internal Controls, Live Nation, Radio, Risk Management, Ticketmaster
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Robocall Law Raises Fines, Tightens Requirements
Robocallers could be fined up to $10,000 and telephone and other voice providers will face more responsibility to identify and stop the burgeoning robocall epidemic under a bill passed by Congress and awaiting President Trump’s signature. The new rules offer … Continue reading
Chrisley, Other Felony Tax Prosecutions Highlight Growing Tax Criminal Prosecution Risks
Christley tax prosecution, other convictions show advisability of cleaning up and avoiding new employment, income and other tax violations. Continue reading
Rene Augustine Named DOJ Antitrust Division Acting Deputy Assistant Attorney General Responsible for International and Policy
Zurich’s $5.1 million tax penalty reminds US businesses involved in international transactions to comply with US cross border reporting and tax requirements Continue reading
Posted in bank secrecy act, Board of Directors, CEO, CFO, Compliance, D&O, Director Liability, Employee Benefits, FinCEN, management, Officers, Officers Liability, patriot act, Performance Management, Risk Management, Uncategorized, Workforce
Comments Off on Rene Augustine Named DOJ Antitrust Division Acting Deputy Assistant Attorney General Responsible for International and Policy
$5.1 Million Zurich Life Tax Settlement Highlights International Reporting Noncompliance Risks
Zurich’s $5.1 million tax penalty reminds US businesses involved in international transactions to comply with US cross border reporting and tax requirements Continue reading
Appeals Court Rules Corporation Can’t Deduct Excise Tax Not Paid As Tax Deduction
Federal corporate taxpayers may not deduct as a cost of goods sold expense an excise tax expense that was never actually incurred or paid according the Federal Circuit Court of Appeals just-released ruling in Sunoco, Inc. v. United States, No. 2017-1402 (November 1, 2018). Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, Cyber, data breach, Fraud, Leadership, Privacy, Tax, Uncategorized
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Protect Your Website & Website Data Against Cybersecurity Threats
US-CERT urges organizations and individuals to tighten website security Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, Cyber, data breach, Fraud, Leadership, Privacy, Uncategorized
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12/17 Deadline to Comment on EPA’s Proposed Improvements to Methane Rule Governing New Oil and Gas Sources
12/17 Deadline to Comment on EPA’s Proposes Improvements to Methane Rule Governing New Oil and Gas Sources Continue reading
11/27 Deadline To Comment On Proposed SBA Express Loan Programs and Affiliation Programs Rule Changes
11/27 Deadline To Comment On Proposed SBA Express Loan Programs and Affiliation Programs Rule Changes Continue reading
FinCEN Warns US Businesses & Individuals Of corruption Related Risks Of Nicaraguan Investments or Dealings
FinCEN Warns US Businesses & Individuals Of corruption Related Risks Of Nicaraguan Investments or Dealings! Continue reading
Comment on USDA Canola, Corn and Soybeans Rules
The USDA is inviting comments on U.S. Standards for Canola, Corn and Soybeans On June 29, 2018, the U.S. Department of Agriculture’s Animal Plant Health Inspection Service (APHIS) published three proposed rules regarding U.S. Standards for Canola, Corn and Soybeans … Continue reading
Posted in Compliance, fda, food
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IRS Warns About Refund E-Mail Scam
In an April 9 news release, the IRS identifies a new bogus email pretending to be from “IRS Refunds,” and containing a link that connects to a fake page where thieves try to steal personally identifiable information, such as Social … Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, Cyber, data breach, Fraud, Leadership, Privacy, Uncategorized
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Manage Better By Managing Emotion In Messages
Consciously manage the emotion in your message to manage others better. Research shows people don’t actually respond to language that’s positive or negative. They respond to language that’s emotional. Emotion in language can motivate or alienate, deliver criticism or coaching, … Continue reading
Posted in Arbitration, Board of Directors, CEO, CFO, Compliance, Director Liability, Dispute Resolutuon, Employment, Fiduciary Responsibility, Internal Controls, Labor Relations, Leadership, management, Officers, Performance Management, Reductions In Force, Risk Management, Workforce, Workforce Management
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Secure Devices With Auto-Tracking
Secure devices using mobile tracking. Continue reading
Posted in Compliance, Cyber, data breach, Data Security, Privacy, Risk Management
Tagged cybersecurity, data breach, Privacy
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Corporations As Human Bodies
People too often characterize corporation as if they are some amorphous entity disconnected from humanity. This is a mistake. Corporations by their very essence are collections of people interacting with and impacting other groups of people.. People run them. People … Continue reading
Check Patriot Act Controls For New FinCEN Rules Targeting North Korea Connected Transactions
Banks and other financial institutions need to review their current USA PATRIOT Act procedures and safeguards in response to an alert and a new final rule relating financial institutions published by the U.S. Department of the Treasury’s Financial Crimes Enforcement … Continue reading
Reconstruct Records After a Disaster
Are you trying to help your business or family clean up the mess and recover from a hurricane, flood, fire or other disaster? Reconstructing records to prove a loss for tax purposes, getting federal assistance, or insurance reimbursement often is … Continue reading
Posted in CEO, CFO, Compliance, Internal Controls, Risk Management, Tax, Uncategorized
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Hurricane Impacted Financial Institutions Tell FinCEN If BSA Reports Delayed
FINRA Reporting by Hurricane Impacted Financial Institutions
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Posted in bank secrecy act, Bankruptcy, Board of Directors, CEO, CFO, Compliance, Director Liability, Internal Controls, Officers, Tax, Uncategorized
Tagged Bankruptcy, CFO, Compliance, Corporate Compliance, Fiduciary Liability, Fiduciary Responsibility, financial institution, Hurricane, Internal Controls, management, officers liability, Reporting, Risk Management
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Use Lessons Of Past Mistakes or Injustice To Build Better Future
Moving beyond mistakes & injustice Continue reading
Cynthia Marcotte Stamer
slproc.com 
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