The laws regulating state lobbying, ethics and campaign finance compliance are ever-changing. All lawyers who work for, or with, corporations should understand how to spot these compliance challenges in their organization. We will give a basic overview of political compliance laws, and present an array of policy and procedural solutions if issues do arise.
Representing a Not-For-Profit (SERIES: ONE HOUR LAW SCHOOL 2.0 - TELL ME WHAT...Sylvia Masuda
To view the accompanying webinar, visit: https://www.financialpoise.com/financialpoisewebinars/view-webinar/?id=253875254&slides=9tLnzIBjoDZE6c
Not every organization exists to benefit its owners. Learn the basics of mission-driven organizations – not-for-profits – so you can start one or serve one as an advisor, volunteer, director or employee. In this webinar we cover the key differences between for-profit and not-for-profit organizations, including their capitalization, taxation and governance, and provide tips for assuring continued tax-exemption and continued operations.
Financial Accountability for Board Members. Sponsored by the Lafayette Community Foundation and the Indiana Nonprofit Resource Network, this program provides basic information and tools to help nonprofit board members understand and comply with their fiduciary responsibilities
Congress has approved H.R. 1 the Tax Cuts and Jobs Act, significantly altering the U.S. tax code. Join us to learn more about what the new legislation means for individuals and businesses, including corporations and pass through entities.
This WEBINAR is an overview about how the Tax Cuts and Jobs Act alters the U.S. tax code for individuals and businesses.
For more in-depth information and personal engagement with our team, we welcome you to join us on Tuesday, January 30th from 9-11am at our Rockville Location, 1445 Research Boulevard, Ground Level Conference Room, Rockville, MD 20850.
Congress has approved H.R. 1 the Tax Cuts and Jobs Act, significantly altering the U.S. tax code. Join us to learn more about what the new legislation means for individuals and businesses, including corporations and pass through entities.
Join us for a conversation about how tax reform impacts individuals and businesses, including corporations and pass through entities.
Jimmy Gentry presents "Securities and Exchange Commission Filings" during the Reynolds Center for Business Journalism's annual Business Journalism Week, Jan. 4, 2014. Gentry is the Clyde M. Reed Teaching Professor at the University of Kansas' School of Journalism and Mass Communications.
The annual event features two concurrent seminars, Business Journalism Professors and Strictly Financials for journalists.
For more information about business journalism training, please visit http://businessjournalism.org.
Representing a Not-For-Profit (SERIES: ONE HOUR LAW SCHOOL 2.0 - TELL ME WHAT...Sylvia Masuda
To view the accompanying webinar, visit: https://www.financialpoise.com/financialpoisewebinars/view-webinar/?id=253875254&slides=9tLnzIBjoDZE6c
Not every organization exists to benefit its owners. Learn the basics of mission-driven organizations – not-for-profits – so you can start one or serve one as an advisor, volunteer, director or employee. In this webinar we cover the key differences between for-profit and not-for-profit organizations, including their capitalization, taxation and governance, and provide tips for assuring continued tax-exemption and continued operations.
Financial Accountability for Board Members. Sponsored by the Lafayette Community Foundation and the Indiana Nonprofit Resource Network, this program provides basic information and tools to help nonprofit board members understand and comply with their fiduciary responsibilities
Congress has approved H.R. 1 the Tax Cuts and Jobs Act, significantly altering the U.S. tax code. Join us to learn more about what the new legislation means for individuals and businesses, including corporations and pass through entities.
This WEBINAR is an overview about how the Tax Cuts and Jobs Act alters the U.S. tax code for individuals and businesses.
For more in-depth information and personal engagement with our team, we welcome you to join us on Tuesday, January 30th from 9-11am at our Rockville Location, 1445 Research Boulevard, Ground Level Conference Room, Rockville, MD 20850.
Congress has approved H.R. 1 the Tax Cuts and Jobs Act, significantly altering the U.S. tax code. Join us to learn more about what the new legislation means for individuals and businesses, including corporations and pass through entities.
Join us for a conversation about how tax reform impacts individuals and businesses, including corporations and pass through entities.
Jimmy Gentry presents "Securities and Exchange Commission Filings" during the Reynolds Center for Business Journalism's annual Business Journalism Week, Jan. 4, 2014. Gentry is the Clyde M. Reed Teaching Professor at the University of Kansas' School of Journalism and Mass Communications.
The annual event features two concurrent seminars, Business Journalism Professors and Strictly Financials for journalists.
For more information about business journalism training, please visit http://businessjournalism.org.
Lisa C. Burford of LCB Consulting, LLC delivered a presentation on engaging nonprofit boards of directors on June 22, 2016 at the United Way of the National Capital Area's "Bored with Board Development?" Workshop.
The rules governing what non-profits are allowed to do with respect to legislation can be confusing and downright frightening with the threat of losing your non-profit status if you do the wrong thing. Anne will cover the basic definitions and rules of advocacy and lobbying. She will highlight some of the main considerations each group should make and encourage discussion on why non-profit groups should take advantage of lobbying.
Payroll Protection Program for Family BusinessBrent Nelson
Many family businesses could qualify for the Payroll Protection Program (PPP), which is a $349 billion program available until June 30, 2020. The PPP is a loan program, guaranteed by the Federal government, to help businesses effected by COVID-19. PPP loans can be forgiven, income tax free, up to 100% of the loan. Businesses need to act fast to utilize the program while it lasts.
Jimmy Gentry presents "SEC Filings" during the Reynolds Center for Business Journalism's annual Business Journalism Week, Jan. 2, 2014. Gentry is the Clyde M. Reed Teaching Professor at the University of Kansas' School of Journalism and Mass Communications.
The annual event features two concurrent seminars, Business Journalism Professors and Strictly Financials for journalists.
For more information about business journalism training, please visit http://businessjournalism.org.
The first seminar of a four-part series on growing a business and preparing it for sale led by the co-chair of Kegler Brown's M+A practice, Eric Duffee. Eric partnered with Jeff Tubaugh and Maggie Gilmore of BDO for this presentation, which focused on the fundamentals of entity selection. It detailed different entity types and the related impacts from tax reform affecting them. It also discussed concerns related to outside investors, partnerships, various structural forms and the tax impact of each.
Lisa C. Burford of LCB Consulting, LLC delivered a presentation on engaging nonprofit boards of directors on June 22, 2016 at the United Way of the National Capital Area's "Bored with Board Development?" Workshop.
The rules governing what non-profits are allowed to do with respect to legislation can be confusing and downright frightening with the threat of losing your non-profit status if you do the wrong thing. Anne will cover the basic definitions and rules of advocacy and lobbying. She will highlight some of the main considerations each group should make and encourage discussion on why non-profit groups should take advantage of lobbying.
Payroll Protection Program for Family BusinessBrent Nelson
Many family businesses could qualify for the Payroll Protection Program (PPP), which is a $349 billion program available until June 30, 2020. The PPP is a loan program, guaranteed by the Federal government, to help businesses effected by COVID-19. PPP loans can be forgiven, income tax free, up to 100% of the loan. Businesses need to act fast to utilize the program while it lasts.
Jimmy Gentry presents "SEC Filings" during the Reynolds Center for Business Journalism's annual Business Journalism Week, Jan. 2, 2014. Gentry is the Clyde M. Reed Teaching Professor at the University of Kansas' School of Journalism and Mass Communications.
The annual event features two concurrent seminars, Business Journalism Professors and Strictly Financials for journalists.
For more information about business journalism training, please visit http://businessjournalism.org.
The first seminar of a four-part series on growing a business and preparing it for sale led by the co-chair of Kegler Brown's M+A practice, Eric Duffee. Eric partnered with Jeff Tubaugh and Maggie Gilmore of BDO for this presentation, which focused on the fundamentals of entity selection. It detailed different entity types and the related impacts from tax reform affecting them. It also discussed concerns related to outside investors, partnerships, various structural forms and the tax impact of each.
A presentation from a November 2011 webinar hosted by compensation and law experts from INTEGRATED Healthcare Strategies and Eptein Becker Green.
See more at: http://www.integratedhealthcarestrategies.com/knowledgecenter.aspx
Small businesses in North Carolina will soon be permitted to raise up to $2 million from average investors with certain limits. This is the result of legislation passed by the North Carolina General Assembly in July 2016. Businesses that use the “Invest N.C. exemption” can utilize the Internet to organize such a fundraiser. However, firms must follow certain regulations, including requirements on how much can be raised from each investor, what kind of financial information must be disclosed, and periodic reporting requirements to keep investors informed. The N.C. Securities Division will oversee administration of the crowdfunding exemption.This seminar is planned as an overview of investment crowdfunding for businesses that may want to utilize this option. The speaker will cover the following:
-a regulatory overview and how crowdfunding fits within securities laws
-the legal do’s and don’ts of a crowdfunding offering
-the marketing aspects
-what you can say and how to reach investors
-utilizing a web site intermediary – picking one and connecting with investors.
Funding 101 for Tech Entrepreneurs & StartupsRoger Royse
Roger Royse, founder of the Royse Law Firm, discusses the various options available to entrepreneurs when it comes to funding their startup.
Topics include:
1) What are the best funding options for entrepreneurs to scale their business?
2) When should entrepreneurs pursue external funding?
3) How do entrepreneurs choose the right investor?
4) What alternative sources of funding are available?
5) How and why should a founder stage their funding rounds?
6) When should a founder think about exiting?
7) How can advisors help with the funding process?
Fair Lending Testing and Analysis - Made EasyDavid Gilbert
Fair Lending laws have been around for decades, but more robust Fair Lending analysis has recently become a hot-button issue and point of emphasis with regulators.
Financial institutions must now be able mathematically prove no discrimination or "disparate impact/treatment" is occurring in marketing activities, during the loan application process, with pricing and add-on products, and with charge-off and collection practices.
Slides used by Daniel Haines, of Crowe Clark Whitehill, at the ‘Locally trusted organisations and Big Local partnerships’ learning and networking events. The events took place on Friday 25 November and Wednesday 7 December 2016.
Writing a federal proposal is a multi-step process with every tier requiring an equal level of intense consideration. The federal budget piece is probably the most detailed and specific item on the federal proposal to-do list. Illinois ResourceNet’s face-to-face workshop will tackle the topic of federal budgets and help attendees sort through this daunting section of the federal proposal. In addition, this session describes the principles used in developing a budget narrative.
Illinois ResourceNet’s instructor will explain the importance of managing your organization’s finances to improve your success in applying for a federal grant.
Attendees will walk away knowing how to plan and monitor financial activity, while establishing a solid line of communication between program staff and budgeting staff. This course helps to prepare organizations to manage the detailed federal budget section of their proposals.
The SBIR/STTR Program is a valuable resource for small businesses. But what is it, exactly? How does a company apply for one? Which type is better for your client? Which agencies participate? What are your clients in for? The answers to these questions have rippling impacts on a business, from the front office to the back office, from operations to human resources to finance. There are many pitfalls to be aware of, and best practices are usually kept quiet due to a lack of networking opportunities available.
We'll start by building a basic understanding of the SBIR/STTR Program: the regulatory foundation in the FAR, the SBA's role, and the participating agencies. Then we'll dive deeper and discuss how small businesses can research government needs, build a responsive proposal, and prepare their organization for the award. We'll share real-world examples, both positive and negative, to help you support your clients through this rewarding, and sometimes troublesome, program.
APTAC Spring 2020
Legalshield Business Solutions (Formerly Pre Paid Legal)Daedalus294
Legalshield offers a suite of services designed to give you piece of mind. Whether you are a small business, HR manager, or an insurance broker / agent, we provide solutions for everyone.
Affordable legal protection and comprehensive identity theft protection with a *5 million dollar guarantee.
Get Legalshield for your business to cover your employees. Benefits include: no additional cost to employer, no underwriting, boosting the bottom line, and keeping employees focused on their jobs instead of their personal problems.
We offer generous commissions and bonuses to those that qualify. We are in a high growth market with virtually no competition. We protect more than 1.5 million people across the US and Canada.
Best residual income rates and we pay well. Bonuses and reward trips for those who who can qualify every quarter.
We make it one best business opportunity.
For more information: https://business.legalshield.com/?hub=kamilfaizi
The Federal Corrupt Practices Act (“FCPA”) prohibits a U.S. company or person from bribing foreign government officials to obtain a business advantage. Along with this seemingly simple restriction comes accounting and record keeping requirements with which companies must comply. The FCPA requires the implementation of a compliance program which addresses FCPA concerns and establishes an FCPA corporate policy. This webinar covers the basics of the FCPA, including an introduction to the regulators, both the SEC and DOJ, and recent communications to the public regarding the FCPA from these regulatory bodies. The standards for a compliance program review is analyzed, including what makes a program current and effective as well as how often the program requires review. The role of a compliance coordinator is discussed, as is record keeping, training, and retaliation. Finally, meals and entertainment, gifts, travel, charitable contributions, and hiring are all discussed with reference to recent government actions and legal decisions.
To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/foreign-corrupt-practices-act-compliance-2021/
2016 Year in Review: Recent Midwest Legal Decisions Impacting Real Estate and...Quarles & Brady
In 2016, the Midwest (which we will define as Illinois, Indiana, Iowa, Michigan, Minnesota, Missouri, Ohio, and Wisconsin) saw a number of statutory changes and court decisions that reshaped and framed a number of key issues every developer, design professional, owner, lender, contractor, and real estate and construction lawyer must know.
Key Bankruptcy Considerations Heading into a RecessionQuarles & Brady
As the impact of the COVID-19 pandemic continues to evolve, US businesses are already feeling the impact of a potential economic downturn. Presenters will discuss key considerations that may present themselves in the event of a recession, including modification and forbearance agreements, amendment/default scenarios, risks regarding "slow pay" and termination of key contracts, and priority rights of suppliers in bankruptcy, as well as implications of the Small Business Bankruptcy Act for potential debtors.
Action Steps for Your Employee Benefits Plan During the Coronavirus PandemicQuarles & Brady
With the enactment of two new Coronavirus-related laws, plan sponsors of retirement, health and welfare plans have several "must-do" items to consider, along with several "optional" items. Join us for this informative webinar where we will discuss the different legal considerations plan sponsors and service providers (such as third party administrators, insurance brokers and pharmacy benefit mangers) should consider for their retirement, health and welfare plans.
We will discuss:
-What coronavirus testing must be covered by health plans
Important changes to "over the counter" drugs and medicine
-Addressing layoffs and furloughs, and how to survive the benefit costs
-Best practices for distribution and loan options for those who have been affected
-Delaying, repaying and fixing 2020 required minimum distributions
-How to treat paid leave under your retirement plans
Guidance for Employers During the Evolving COVID-19 PandemicQuarles & Brady
As the impact of the COVID-19 pandemic continues to rapidly evolve, U.S. employers are wrestling with many workforce issues to ensure workforce safety and mitigate operational disruptions. Our discussion will present key considerations for employers relating to employee workplace safety, implementing policies and procedures for working remotely, handling issues of paid and unpaid leave for employees or family member care, as well as addressing travel restrictions, all within the context of FMLA, EEOC, wage and hour and other legal guidelines. A question and answer period will follow the presentation.
Guidance for Employers During the Evolving COVID-19 PandemicQuarles & Brady
As the impact of the COVID-19 pandemic continues to rapidly evolve, U.S. employers are wrestling with many workforce issues to ensure workforce safety and mitigate operational disruptions. Our discussion will present key considerations for employers relating to employee workplace safety, implementing policies and procedures for working remotely, handling issues of paid and unpaid leave for employees or family member care, as well as addressing travel restrictions, all within the context of FMLA, EEOC, wage and hour and other legal guidelines. A question and answer period will follow the presentation.
Business Law Training: Market Turmoil in D&O Insurance and Is Your Company Pr...Quarles & Brady
This lively discussion focused on the market turmoil in the current public and private D&O markets. Additionally, the professionals explained the scope of Cyber Insurance for tradition exposures, operational risk and regulatory compliance.
Understand the SECURE Act, the Repeal of the “Cadillac Tax” and Other Health ...Quarles & Brady
After stalling in the Senate for much of 2019, the long expected passage of the SECURE Act became a reality through a quiet attachment to the approved year-end spending bill. This session covered the Act's impact on important aspects of your benefit plans, along with the repeal of the so-called "Cadillac Tax" and other benefit changes included in the spending bill. Attendees were able to gain the information needed to comply with this newly passed legislation and ways to adapt their benefits to take full advantage of the law. We presented the formal legal changes as well as our perspectives on what compliance means on a practical level. Time for Q&A was planned near the end of the session.
In 2020, the Ministry of Home Affairs established a committee led by Prof. (Dr.) Ranbir Singh, former Vice Chancellor of National Law University (NLU), Delhi. This committee was tasked with reviewing the three codes of criminal law. The primary objective of the committee was to propose comprehensive reforms to the country’s criminal laws in a manner that is both principled and effective.
The committee’s focus was on ensuring the safety and security of individuals, communities, and the nation as a whole. Throughout its deliberations, the committee aimed to uphold constitutional values such as justice, dignity, and the intrinsic value of each individual. Their goal was to recommend amendments to the criminal laws that align with these values and priorities.
Subsequently, in February, the committee successfully submitted its recommendations regarding amendments to the criminal law. These recommendations are intended to serve as a foundation for enhancing the current legal framework, promoting safety and security, and upholding the constitutional principles of justice, dignity, and the inherent worth of every individual.
Responsibilities of the office bearers while registering multi-state cooperat...Finlaw Consultancy Pvt Ltd
Introduction-
The process of register multi-state cooperative society in India is governed by the Multi-State Co-operative Societies Act, 2002. This process requires the office bearers to undertake several crucial responsibilities to ensure compliance with legal and regulatory frameworks. The key office bearers typically include the President, Secretary, and Treasurer, along with other elected members of the managing committee. Their responsibilities encompass administrative, legal, and financial duties essential for the successful registration and operation of the society.
A "File Trademark" is a legal term referring to the registration of a unique symbol, logo, or name used to identify and distinguish products or services. This process provides legal protection, granting exclusive rights to the trademark owner, and helps prevent unauthorized use by competitors.
Visit Now: https://www.tumblr.com/trademark-quick/751620857551634432/ensure-legal-protection-file-your-trademark-with?source=share
Car Accident Injury Do I Have a Case....Knowyourright
Every year, thousands of Minnesotans are injured in car accidents. These injuries can be severe – even life-changing. Under Minnesota law, you can pursue compensation through a personal injury lawsuit.
WINDING UP of COMPANY, Modes of DissolutionKHURRAMWALI
Winding up, also known as liquidation, refers to the legal and financial process of dissolving a company. It involves ceasing operations, selling assets, settling debts, and ultimately removing the company from the official business registry.
Here's a breakdown of the key aspects of winding up:
Reasons for Winding Up:
Insolvency: This is the most common reason, where the company cannot pay its debts. Creditors may initiate a compulsory winding up to recover their dues.
Voluntary Closure: The owners may decide to close the company due to reasons like reaching business goals, facing losses, or merging with another company.
Deadlock: If shareholders or directors cannot agree on how to run the company, a court may order a winding up.
Types of Winding Up:
Voluntary Winding Up: This is initiated by the company's shareholders through a resolution passed by a majority vote. There are two main types:
Members' Voluntary Winding Up: The company is solvent (has enough assets to pay off its debts) and shareholders will receive any remaining assets after debts are settled.
Creditors' Voluntary Winding Up: The company is insolvent and creditors will be prioritized in receiving payment from the sale of assets.
Compulsory Winding Up: This is initiated by a court order, typically at the request of creditors, government agencies, or even by the company itself if it's insolvent.
Process of Winding Up:
Appointment of Liquidator: A qualified professional is appointed to oversee the winding-up process. They are responsible for selling assets, paying off debts, and distributing any remaining funds.
Cease Trading: The company stops its regular business operations.
Notification of Creditors: Creditors are informed about the winding up and invited to submit their claims.
Sale of Assets: The company's assets are sold to generate cash to pay off creditors.
Payment of Debts: Creditors are paid according to a set order of priority, with secured creditors receiving payment before unsecured creditors.
Distribution to Shareholders: If there are any remaining funds after all debts are settled, they are distributed to shareholders according to their ownership stake.
Dissolution: Once all claims are settled and distributions made, the company is officially dissolved and removed from the business register.
Impact of Winding Up:
Employees: Employees will likely lose their jobs during the winding-up process.
Creditors: Creditors may not recover their debts in full, especially if the company is insolvent.
Shareholders: Shareholders may not receive any payout if the company's debts exceed its assets.
Winding up is a complex legal and financial process that can have significant consequences for all parties involved. It's important to seek professional legal and financial advice when considering winding up a company.
Military Commissions details LtCol Thomas Jasper as Detailed Defense CounselThomas (Tom) Jasper
Military Commissions Trial Judiciary, Guantanamo Bay, Cuba. Notice of the Chief Defense Counsel's detailing of LtCol Thomas F. Jasper, Jr. USMC, as Detailed Defense Counsel for Abd Al Hadi Al-Iraqi on 6 August 2014 in the case of United States v. Hadi al Iraqi (10026)
What Every Lawyer Should Know about Political Law Compliance
1. What Every Lawyer Should Know
About Political Law Compliance
Adie J. Olson
Adie.Olson@quarles.com
(312)-715-5222
Jen Jackson
Jennifer.Jackson@quarles.com
(414)-277-5517
2. Goals for Today
Learn to
spot
compliance
issues
Break down
issues into
core
questions
Develop
tools to
address the
challenges
Review
recent
changes in
the law
2
3. Major Areas of Compliance
•Lobbying Registration and Reporting
•Ethics/Gifts Regulations
•Campaign Finance and Pay-to-Play
•Enforcement and Solutions
3
6. Lobbying Registration: Examples
6
Expenditure or Direct Communication Threshold
Illinois: must register prior to engaging in a direct communication with a public official with the intent to influence a
legislative or administrative matter. “Communication” includes making an expenditure to benefit the public official.
Time and Compensation Threshold
California: For an in-house employee, registration is required when an employee spends a third of his or her
compensated time in a calendar month engaging in direct lobbying communication. Consultants are subject to a
different threshold of $2,000 of lobbying compensation in a calendar month with a rebuttable presumption that all
payments to a consultant lobbyist are compensation for lobbying.
Compensation and Expenditures Threshold
New York: registration is required when, during a biennial period, a lobbyist or employer expends $5,000 in
combined reportable expenditures and compensation for expenses for lobbying at the state or local level.
9. Lobbying Reporting: Filer
9
• Principal/Employer
• Employee
• Consultant Lobbyist
• Consultant Lobbying Firm
• Any combination of the above
10. Lobbying Reporting: Filer Examples
10
Wisconsin: principal files twice yearly; in-house lobbyists and consultants certify
time.
Illinois: principal files twice per month; lobbyist certifies reports twice annually.
Texas: a principal that is required to register/report may avoid doing so if the
lobbyist captures all of the company’s expenditures.
Massachusetts: all lobbyists and types of entities report twice annually.
Pennsylvania: principals report quarterly. A lobbyist or lobbying firm does not need
to file a separate report if their expenses are captured by the principal.
11. How many lobbying reports are potentially due each year?
11
a.279
b.452
c.137
d.313
12. Lobbying Reporting: Frequency
12
Reporting frequency varies:
• Twice monthly
• Monthly
• Staggered at 3, 4 and 5 month interval
• Quarterly
• Annually
• Monthly during session only
• Monthly during session and quarterly thereafter
13. Lobbying Reporting: Frequency Examples
13
Vermont: 7 times annually; monthly for activity January through May, then
consolidated reports for June-August and September-December.
Washington: monthly for lobbyist and annually for principals in February.
Minnesota: semi-annual lobbyist report and annual principal report in March.
New Jersey: quarterly lobbying agent report and annual employer report.
Florida: in-house lobbyists and principals do not file reports. Lobbying firms are
required to file reports in February, May, September and November.
14. Lobbying Reporting: Disclosures
14
Disclosure requirements vary greatly and may include:
• Expenditures to benefit public officials
• Compensation to consultants
• Pro-rata compensation for in-house lobbyists
• Matters lobbied
• Officials lobbied
• Overhead and other related expenses (rent, phone, internet, car, etc.)
• Gifts and entertainment
• Reception expenses when officials are invited
• Travel costs for in-house lobbyists
• Grassroots lobbying expenses
• Local lobbying expenses
• Persons responsible for compliance oversight
• Campaign finance contributions
• Business relationships with officials
• Behested charitable contributions
15. Lobbying Reporting: Disclosure Examples
15
Massachusetts: everything except the name of your first born child. Cab receipts with to/from, flights
with to/from, matters lobbied and positions taken on matters, detailed expenditure reporting for all
meals/lodging, office overhead, rent, compensation to lobbying consultants, compensation for
services related to lobbying, compensation to in-house lobbyists.
Illinois: expenditures to benefit public officials.
Mississippi: compensation, in-house lobbyist travel and other expenses, office overhead, payments to
consultants, non-lobbyist employee legislative support, non-lobbying consultant legal support, local
lobbying expense, lobbying related dues.
Kentucky: matters lobbied, pro rata in-house lobbyist compensation, consultant compensation,
professional and technical research and assistance costs, itemized gifts, advertising costs, polling
expense, and grassroots expenses.
Delaware: matters lobbied including specific bill, resolution or regulation; and gifts and entertainment.
16. Lobbying Reporting: Recordkeeping
16
Good recordkeeping is necessary for, among other things:
• Accurate and timely reporting
• Following internal retention policies
• Complying with corporate records laws
• Response to state audits
• Response to internal audits
17. Lobbying Reporting: Recordkeeping Recommendations
17
• Clearly define internal responsibilities for recordkeeping for
time and expenditures
• Consistently organize and file disclosures and related back up
information
• Avoid at all costs, non-uniform systems of recordkeeping and
solely personal document retention systems
• Train all applicable personnel on recordkeeping requirements
• Explore centralized recordkeeping for political law
compliance documents
20. Ethics: Permissibility
20
Permissibility varies and can include:
• Total ban
• Banned for lobbyists/permitted for others
• Banned for those doing business with the state
• Banned for those with issues pending before an
official/agency
• Permitted with other restrictions (time/place)
• Permitted without restrictions
21. Ethics: Limitations
21
Limitations on gifts can include those based on:
• Dollar amount per year
• Dollar amount per occasion
• Timing (session freeze)
• Business relationship
• Relationships (personal friendship, family, special occasion)
23. Ethics: Recordkeeping
23
•Good recordkeeping is always critical, but special
attention should be paid for any expenditures to benefit
any public official by the government affairs team or any
company personnel.
•Company policies and expense systems should have
explicit protocols for pre-approval of gifts/entertainment
to benefit a public official.
•Training is critical, especially for those employees not
familiar with government affairs.
26. Campaign Finance Considerations: Permissibility
26
Factors related to the permissibility of a contribution include consideration of the source
and recipient. A jurisdiction may allow:
• Direct corporate contributions
• Corporate PAC contributions
• Personal/ individual contributions
• Contributions only from non-lobbyists/principals
• Public funding of campaigns only
• Contributions to PACs or restricted accounts but not candidates
• A mix of the above
27. Campaign Finance Considerations: Limitations
27
Limitations on permissible contributions include consideration of
the:
• Amount
• Source
• Timing
• Delivery
28. Campaign Finance Considerations: Reporting
28
Reporting varies across jurisdictions:
• Contributor reports
• Recipient reports
• Both report
• Include on lobbying reports
• Report based on timing (changes with session and/or election)
• Transmittal letters
29. Campaign Finance Considerations: Examples
29
• Wisconsin prohibits all corporate contributions, except to the
administrative/non-candidate accounts of a party or legislative
committee ($12,000 limit).
• Illinois permits corporate contributions to candidates, PACs,
and parties with dollar limitations.
• Federal candidates may not accept corporate contributions in
any amount.
30. Campaign Finance Considerations: Pay to Play
30
• Pay to Play laws are common now at the state and local level.
• These laws prohibit or restrict political contributions by state and local contractors
and bidders.
• The prohibition or restriction may apply to political contributions by the company,
its PAC, officers, directors, senior manager, and even spouses and children.
• There can be a look back provision, as well as a future restriction/prohibition.
• The penalties can be significant, including voiding the contract and imposing
restrictions on future contracting.
• These laws can be found in the campaign finance statutes, state contracting laws
and rules, and on the bidding documents themselves.
• Companies that engage in public contracts need to consider putting pre-approval
systems in place for corporate and employee political contributions.
31. Pay to Play: Examples
31
• Illinois requires a corporation with over $50,000 of contracts
with the state to register as a business entity, and prohibits
that corporation from making contributions to certain
candidates. The prohibition extends to the corporate officers
and their spouses.
• New Jersey, just watch out!
• Pennsylvania applies its P2P regulations only to non-bid
contracts and requires affirmative disclosure of corporate
contributions.
34. People
•Identify compliance point person
•Clearly delineate responsibilities for
registration, reporting and recordkeeping
•Address compliance with consultants
34