News

Employers Have 3 Options in Light of OSHA’s Unmasking Announcement

By EsqSocial Corporation 19/05/21

Responding to a huge looming question for employers, the Occupational Safety and Health Administration (OSHA) just issued an announcement referring businesses to the CDC’s new guidance advising that fully vaccinated people no longer need to wear a mask or social distance in non-healthcare setting

Be Careful Who You Hit On The Way Up

By EsqSocial Corporation 19/05/21

I worked at a number of places in the 11 years before I started my own law firm practice and I will vouch that I didn’t try to hurt or attack any of my co-workers.

Private Fund Principals Charged with Disclosure Violations, Is Your Auditor Properly Registered with PCAOB?, ESG and DOL Fiduciary Exemption Resources and More: Lessons Learned and Worth Reading for May 2021

By EsqSocial Corporation 19/05/21

SEC Charges Auditor for Failing to Register with the PCAOB. Why is this case important for broker-dealers and investment advisers to read? Because situations like this can result in multiple rule violations such as violation of Section 102(a) of the Sarbanes-Oxley Act of 2002, Rule 2-02 (b)(1) of

CFPB Obtains $5.4 Million from Debt-Relief Service that Allegedly Charged Illegal Fees

By EsqSocial Corporation 19/05/21

On May 17, the Consumer Financial Protection Bureau (CFPB) announced a settlement with DMB Financial LLC, a Massachusetts-based debt-settlement company....
By: Troutman Pepper

[Audio] What's Cooking in the Compliance Kitchen - UK and EU Sanctions on Myanmar

By EsqSocial Corporation 19/05/21

The Kitchen continues its coverage of the Myanmar/Burma sanctions.  This episode looks at the UK sanctions on this country and also an update from the EU in this regard....
By: Thomas Fox

[Audio] Great Women in Compliance - Episode 105 - Dr. Pat Harned, Part 2

By EsqSocial Corporation 19/05/21

One of the best parts of GWIC is that we get the opportunity to speak with some of the trailblazers in our field.  In the next two episodes, Lisa talks with Pat Harned, the CEO of the Ethics and Compliance Initiative (ECI).  Today, Lisa gets to learn about Pat's background, what led her to workin

DOL to Focus on Red Flags in Mental Health Parity Requests

By EsqSocial Corporation 19/05/21

Last week, the Department of Labor (DOL) announced that it will focus on requesting information from employers where there are potential “red flags” of non-compliance with the provisions and rules of the Mental Health Parity and Addiction Equity Act (MHPAEA), as modified by the Consolidated Appro

[Audio] Compliance into the Weeds: Biden Administration Executive Order on Cybersecurity

By EsqSocial Corporation 19/05/21

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject.

Alternatives to Tax-Exempt Advance Refunding Bonds

By EsqSocial Corporation 19/05/21

As described in “Tax-Exempt Advance Refunding Bonds: History and Legislative Updates” by Caitlyn Smith Burchfield, the Tax Cuts and Jobs Act of 2017 bans the issuance of tax-exempt advance refunding bonds after December 31, 2017.

[Audio] Daily Compliance News: May 19, 2021 the Slow Start edition

By EsqSocial Corporation 19/05/21

In today’s edition of Daily Compliance News: AML whistleblower program getting off the ground slowly. (WSJ) Amazon under investigation by German anticompetition watchdog. (BBC) $100MM stolen from Wirecard just before its collapse. (FT) US accuses officials of corruption. (WaPo)...

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