This newsletter provides a snapshot of the principal US and selected international governance and securities law developments during the first quarter of 2017 that may be of interest to Latin American corporations and...more
5/31/2017
/ Beneficial Owner ,
Compliance ,
Corporate Governance ,
Foreign Corrupt Practices Act (FCPA) ,
Pay Gap ,
Risk Management ,
Securities Settlement Cycles ,
Shareholder Rights ,
Stock Connect ,
Transparency ,
Unique Transaction Identifiers ,
XBRL Filing Requirements
Recently, governmental authorities have pursued corruption investigations in Latin America with a vigor traditionally not seen. One potential result is a significant disruption of business. While there are inherent risks in...more
8/12/2015
/ Chief Compliance Officers ,
Complex Corporate Transactions ,
Compliance ,
Due Diligence ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Government Investigations ,
Joint Venture ,
Latin America ,
Lockheed Martin ,
Nokia ,
Risk Assessment ,
Risk Mitigation ,
Siemens
In this issue:
- US DEVELOPMENTS
- SEC Developments
- Noteworthy US Securities Law Litigation
- Recent SEC/DOJ Enforcement Matters
- EU DEVELOPMENTS
- European Commission...more
10/16/2014
/ Audits ,
Bureau of Industry and Security (BIS) ,
Compliance ,
Corporate Governance ,
Department of Justice (DOJ) ,
Enforcement ,
Enforcement Actions ,
EU ,
European Merger Control Regulation ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Reform ,
HKEx ,
Securities and Exchange Commission (SEC) ,
Trade Market Abuse ,
UK ,
Voting Rights
As a result of registration of ordinary shares including in the form of American Depositary Shares (“ADSs”) under the US securities laws and the listing of ordinary shares or ADSs on the New York Stock Exchange (the “NYSE”),...more
In this issue:
- US Developments
- Global Development
- EU Developments
- Developments Specific To Financial Institutions
- Excerpt from US Development:
SEC Developments -
Iran...more