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Foreign Private Issuers May Begin Submitting Their Financial Statements in XBRL

On March 1, 2017, the Securities and Exchange Commission (SEC) provided notice that the International Financial Reporting Standards (IFRS) taxonomy has been published on the SEC’s website as provided for by the EDGAR Filer...more

Updates on Public Company GMS and shareholders reporting

On March 14, 2017, the Indonesian Financial Services Authority (Otoritas Jasa Keuangan or "OJK") issued two regulations impacting voting rights at a General Meeting of Shareholders of Public Companies ("GMS") and transparency...more

FCPA Compliance Report-Episode 316-Kristy Grant-Hart & a debate on ISO 37001 Certification [Video]

In this episode Kristy Grant-Hart, author of How to be a Wildly Successful Compliance Officer, joins me to debate the merits of the ISO 37001 certification. I think the process is worse than useless while Kristy believes it...more

FCPA Compliance Report-Episode 317-Susan Divers on LRN 2016 Compliance Program Effectiveness Report [Video]

In this episode, I visit with Susan Divers on the recently released LRN Ethics and Compliance Program effectiveness report. ...more

Compliance Report-International Edition, Carlos Ayres [Video]

In this episode i visit with Brazilian compliance practitioner Carlos Ayres on recent developments in Brazil and South America in the ongoing fight against bribery and corruption....more

Day 15 of One Month Operationalizing Your Compliance Program-Determining the Effectiveness of Compliance Training [Video]

The importance of determining effectiveness and the evaluation of your ethics and compliance program is now enshrined by the Department of Justice (DOJ) in its Evaluation. The Evaluation is the first formal step taken by the...more

Corporate and Financial Weekly Digest - Volume XII, Issue 10

CFTC Extends Public Comment Period for Swap Dealers and Major Swap Participants Minimum Capital Requirement Proposal - On March 16, the Commodity Futures Trading Commission published in the Federal Register its decision...more

Saudi Arabia Approves New Corporate Governance Regulations

The publication of the Regulations is driven by the continued effort to attract additional foreign investment into the Kingdom and to harmonize the CMA’s own rules with those of the newly revised Companies Law2, as overseen...more

Day 14 of One Month Operationalizing Your Compliance Program-Regional Compliance Committee [Video]

The requirement for tailored training and how this leads to operationalizing your compliance program. Consider the current best practices to tailor your compliance training. It is through a risk ranking system of employee job...more

This Week in FCPA-Episode 44-the St. Patrick's Day Edition [Video]

In this episode, Jay and I have a wide-ranging discussion on the intersection of culture and ethics. We discuss: 1. German authorities raid at VW investigation counsel, Jones Day, offices in Germany and what it may portend...more

Is it Time to Streamline Financial Regulation?

A March 13, 2017 presidential order requiring a comprehensive plan to reorganize the executive branch could be the first step toward streamlining the financial regulatory structure. The Executive Order requires the...more

New PRIIPs Regulatory and Technical Standards issued by the EU Commission

After the first draft was rejected by the European Parliament in September 2016, on 8 March 2017 the European Commission published a new draft of a Delegated Regulation, laying down regulatory technical standards in relation...more

When Acronyms Collide: 20 FAQs for FPIs as IFRS Meets XBRL

The SEC will require IFRS filers to use XBRL starting in 2018. Key Points - FPIs using IFRS are subject to XBRL starting in 2018: ..XBRL filing is voluntary in 2017, and will be required for filings beginning...more

Everything Compliance-Episode 8, DOJ Evaluation of Corporate Compliance Programs, Part I [Video]

This episode is dedicated to the Justice Department’s Evaluation of Corporate Compliance Programs, which was released in February. In this episode, Matt Kelly and Mike Volkov provide next insight. Next week will be views from...more

BaFin Publishes Guidelines for Higher Administrative Fines

Guidelines indicate that violations of the German Securities Trading Act will be sanctioned more rigorously by the German federal financial supervisory authority in the future. Since July 2016, the German federal...more

Uptick In Coordinated U.S.-Brazil Anti-Corruption Enforcement

As companies expand across borders and invest more heavily abroad, foreign enforcement authorities are following the example set by the U.S. Department of Justice and the U.S. Securities and Exchange Commission in directing...more

Investing in renewable projects in Europe - January 2017

The renewable energy market never stands still. Technical advances and the increased prevalence of competitive tendering mechanisms are driving down costs globally. Changes in political and economic conditions can transform...more

NDRC’s Briefing Meeting on Increased Openness to Foreign Investment

The US-China Business Council (USCBC) hosted a meeting on March 13, 2017, with the Foreign Investment Department of the National Development and Reform Commission (NDRC). Deputy Director General LIU Hongkuan (Mr. Liu) and...more

SEC Charges Trader, Broker In Spoofing – Cross-Market Manipulation

The Commission’s latest market manipulation action centers on a foreign trading firm with an undisclosed owner and a U.S. broker-dealer where the undisclosed owner was imbedded as a registered representative, facilitating the...more

Day 11 of One Month Operationalizing Your Compliance Program-Internal Control Objectives [Video]

Today I explore in some detail the first Objective in the COSO 2013 Framework-the Control Environment as a path to operationalize your compliance program. This Objective lays out five steps you can take to put the...more

Compliance into the Weeds-Episode 32 [Video]

In this episode, Matt Kelly and I take a deep dive into a dramatic 48 hours in the life of the FCPA last week, which portends the trend of continued FCPA enforcement. It included the announcement by Kevin Blanco, acting...more

How the Trump Presidency May Affect Commercial Real Estate Investment in Mexico

As the United States’ neighbor and second-largest trading partner, no country has followed President Trump’s rhetoric quite like Mexico. While sometimes it seems that even soothsayers cannot predict what the President will...more

FCPA Compliance Report-Episode 315-James Koukios [Video]

In this episode, I visit with Morrison & Forrester partner James Koukios on the firm's January issue of the top global anti-corruption storylines. ...more

Day 10 of One Month to Operationalizing Your Compliance Program-the Role of Payroll in Compliance  [Video]

The role of global payroll in FCPA compliance is not often considered in operationalizing your compliance program, yet the monies to fund bribes in violation of the FCPA must come from somewhere. Unfortunately, one of those...more

The Financial Report, Volume 6, Number 5

Discussion and Analysis Last week, the SEC’s Office of the Investor Advocate announced that it will host an “Evidence Summit” to discuss strategies for raising retail investors’ understanding of critical investment...more

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