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The Internal Audit Function Image

The Internal Audit Function

William Floyd

The International Professional Practices Framework released last year by the IIA is intended to provide guidance for internal auditors, by seeking to focus on core principles. The framework identifies 10 core principles that describe or guide what an effective internal audit function should focus upon and to what it should adhere.

Features

The Clock Is Ticking Image

The Clock Is Ticking

Jonathan B. New & Marco Molina

<b><I>Courts Check Government Attempts to Extend the Statute of Limitations</b></i><p><b><i>Part Two of a Two-Part Article</I></b><p>When the SEC and other government regulatory agencies pursue civil enforcement actions against those accused of financial fraud, they often attempt to recover monetary penalties and fines for periods of time even outside the limitations period. This effort is being met with resistance by the courts. The authors conclude their discussion herein.

Features

Information Security: The Human Factor Image

Information Security: The Human Factor

Michael Kemps & Kimberly Pease

Law firms must be diligent about their information security — not just via protection through technology, but by training staff on what to look for and how to react to cybersecurity threats. Most security breaches arise out of human error or negligence. Educating users is one of the best defenses.

Features

SEC Takes Aim at Political Contributions by Investment Advisers Image

SEC Takes Aim at Political Contributions by Investment Advisers

Joseph F. Savage, Jr. & Stephanie M. Aronzon

While it remains unclear both when the regulators will invoke their authority to enforce the nearly limitless strict liability provision of the rules and how they will determine the appropriate remedy, the recent settlements and the SEC's handling of exemptive relief petitions may provide some clues.

Features

<b><i>Yellowstone</i></b> Injunctions When Prompt Cure Is Impossible Image

<b><i>Yellowstone</i></b> Injunctions When Prompt Cure Is Impossible

Alexander Lycoyannis

Most real estate practitioners are well acquainted with the <b><I>Yellowstone</I></b> injunction and its importance in preserving the status quo while allegations that a commercial tenant has breached its lease are litigated. But the third Yellowstone prong — timeliness of the motion — is especially important.

Features

New York State's Financial Services Cybersecurity Regulation Image

New York State's Financial Services Cybersecurity Regulation

Elizabeth B. Vandesteeg & Kathryn C. Nadro

The Regulation was designed to promote the protection of customer information as well as the underlying information technology systems of regulated entities in light of the ever-increasing threat of cyber attacks.

Features

Employment Law Issues in PA's Medical Marijuana Act Image

Employment Law Issues in PA's Medical Marijuana Act

John A. McCreary Jr.

The Medical Marijuana Act (MMA) puts Pennsylvania among the growing number of states permitting the use of marijuana for prescribed medicinal purposes. The MMA, like all state laws purporting to "legalize" marijuana use, squarely conflicts with federal law, which still considers marijuana to be a Schedule 1 substance under the Controlled Substances Act, with no legitimate medical uses.

Features

Chapter 13<br><b><i><font="-1">Best Practices in Credit Reporting</b></i></font> Image

Chapter 13<br><b><i><font="-1">Best Practices in Credit Reporting</b></i></font>

Amy L. Drushal & Lara Roeske Fernandez

There is a new trend emerging in FCRA litigation involving Chapter 13 bankruptcy, under which debtors propose a repayment plan to make installment payments to creditors over three to five years. Increasingly, plaintiffs are filing suit based on certain credit-reporting actions taken (or not taken) during a pending Chapter 13 bankruptcy case, after plan confirmation but prior to the entry of the discharge — when a debtor has met all requirements set by the court.

Features

Death of DOL Fiduciary Rule May Not Be Imminent Image

Death of DOL Fiduciary Rule May Not Be Imminent

Jeff Kern

If one follows the recent onslaught of articles and blogs, Donald Trump's election to the presidency has placed a target squarely on the back of a DOL rule that imposes a fiduciary standard on those who provide investment advice in connection with employer retirement plans and IRAs. Yet reports of the rule's demise may be premature.

Features

Using Background Checks to Hire and Retain Employees Image

Using Background Checks to Hire and Retain Employees

K. Bryance Metheny

The ability to hire and retain a competent, responsible workforce distinguishes the great human resources managers from the merely mediocre ones. Retention is highly valued in most successful businesses because hiring on limited information often comes down to more luck than skill, and nobody wants to engage in hiring more often than absolutely necessary.

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