Topic
Record Keeping
223 published works
Death Care Compliance Law
Missouri Preneed Seller Records: Receipt Journal
By Bill Stalter
The first record described in the proposed Missouri recordkeeping regulation could actually require preneed sellers to maintain three, maybe four, sets of journals: (1) receipt and disbursement journals containing a…
Labor & Employment Insights
Recordkeeping Non-Compliance Will Cost You—the EEOC Settles its Sex Discrimination Case Against Coca-Cola Bottling of Mobile
We posted in October 2015 about the EEOC filing suit against Coca-Cola Bottling of Mobile, asserting sex discrimination in violation of Title VII’s record retention provisions. The complaint alleged that in…
Wills, Trusts & Estates Prof Blog
A Few Things To Keep In Mind When Estate Battles Brew
Nobody wants to worry about an estate battle since fights of that type tend to turn loved ones into enemies as well as costing a fortune. But if storm clouds…
Corporate & Financial Weekly Digest
CFTC Amends Recordkeeping Rules
By Kevin M. Foley, James M. Brady
The Commodity Futures Trading Commission has amended Regulation 1.35(a) to ease recordkeeping obligations for certain entities with respect to commodity interest transactions and related cash or forward transactions. Specifically, members…
Banking, Finance and Securities
ESMA consults on transaction reporting, reference data, record-keeping and clock synchronisation under MiFIR
The European Securities and Markets Authority (ESMA) has published a consultation paper on draft guidelines on the application of its final draft regulatory technical standards (RTS) on transaction reporting, instrument…
Death Care Compliance Law
New Missouri Preneed Recordkeeping Requirements: base records and uniformity
By Bill Stalter
The Missouri State Board of Embalmers and Funeral Directors will meet December 9th, and their agenda includes a proposed regulation for new preneed recordkeeping requirements. Borrowing perhaps from other states’…
OSHA Law Blog
Fainting At Sight of Blood From Work-Related Injury Recordable
In a recent interpretation letter, OSHA responded to an employer’s request for “clarification on whether an employee’s laceration and subsequent fainting at the sight of blood constitutes a recordable case…
Broadcast Law Blog
The Care and Feeding of the Broadcast Public Inspection File – Requirements and Retention Periods, A Presentation on the Issues
The FCC requires each full-power broadcast station, commercial and noncommercial, to maintain a public inspection file. Even though this is a longstanding FCC requirement, there are always questions about what…
San Antonio Employment Law Blog
San Antonio Restaurant Kept Two Sets of Books
San Antonio based restaurant China Sea, agreed to pay $504,577 to 82 former workers for minimum wage, overtime and record-keeping violations. China Sea used two sets of books, one real,…
Securities Compliance Sentinel
The Film Don’t Lie When You Are Defending Yourself
By Joshua Horn
When you are faced with a customer complaint, the single most important thing in my expense is the content of the file. If it is not there, it will not…