Client Disclosure - Disclosure Road Map and Instructions, Effective April 2015

Client Disclosure - Effective for new clients or new matters on or after July 1, 2012 through and including December 30th, 2015

* For the purpose of reporting, "state agency" is defined as, "any state department, or division, board, commission, or bureau of any state department, any public benefit corporation, public authority or commission at least one of whose members is appointed by the governor, or the state university of New York or the city university of New York, including all their constituent units except community colleges of the state university of New York and the independent institutions operating statutory or contract colleges on behalf of the state. (POL §73-a(1)(b))

** Pursuant to Public Officers Law §73(7)(a), "No... member of the legislature or legislative employee...shall receive, directly or indirectly, or enter into any agreement express or implied for, any compensation, in whatever form, for the appearance or rendition of services by himself or another in relation to any case, proceeding, application or other matter before a state agency where such appearance or rendition of services is in connection with:

(i) the purchase, sale, rental or lease of real property, goods or services, or contract therefor, from, to or with any such agency;

(ii) any proceeding relating to rate making;

(iii) the adoption or repeal of any rule or regulation having the force and effect of law;

(iv) the obtaining of grants of money or loans;

(v) licensing; or

(vi) any proceeding relating to a franchise provided for in the public service law

*** Pursuant to statute, "referred to the firm" means, "having intentionally and knowingly taken a specific act or series of acts to intentionally procure for... [your] firm or knowingly solicit or direct to ... [your] firm in whole or substantial part, a person or entity that becomes a client of that firm for the purposes of representation for a matter... [the four listed in the chart] as the result of such procurement, solicitation, or direction of the reporting individual."

Please note, client disclosure reporting requirements change significantly effective December 31, 2015


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