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Multijurisdictional Securitization in the Age of Risk Retention

The challenges of complying with both the US rules and the EU rules. Both United States and European Union laws now require 5 percent credit risk retention for securitization transactions. While the jurisdictional scope...more

Day 19 of One Month to a Better Board-Three Core Areas of Board Inquiry [Video]

There are three core areas upon which Directors should focus their attention to help establish and maintain an effective compliance program. In this podcast I discuss the three which are: (1) structural, (2) cultural, (3)...more

KPMG Issues 2017 Global Audit Committee Pulse Survey

Recently, KPMG released its 2017 Global Audit Committee Pulse Survey, which reports on audit committee activities based on survey responses from 800 audit committee members across 42 countries. Asking, "Is Everything Under...more

Day 18 of One Month to a Better Board-Six Areas of Board Inquiry into Compliance [Video]

Where does “Tone at the Top” start. With any public and most private US companies, it is at the Board of Directors. But what is the role of a company’s Board in FCPA compliance? We start with several general statements about...more

Investment Funds Update: Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

BaFin Publishes KAMaRisk - BaFin published the “Minimum Requirements on Risk Management for Investment Management Companies (Mindestanforderungen an das Risikomanagement für Kapitalverwaltungsgesellschaften -...more

FCPA Compliance Report-Episode 309-James Koukios [Video]

In this episode I visit with Morrison Forrester partner James Koukios on the firm's December newsletter on the Top Ten International Anti-Corruption Developments for December 2016. James and I visit about some of the lesser...more

Day 17 of One Month to a Better Board-Incorporating Compliance into Long-Term Corporate Strategy [Video]

In this final five days of my One Month to a Better Board series, I will look at inquiries and questions a Board can take to help the organization actually do compliance going forward. I begin with an exploration of how can a...more

Investment Funds Update: Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

AMF Consultations - Corporate Finance Advice and Intermediation in Miscellaneous Assets - The Autorité des Marchés Financiers (the “AMF”, the French financial markets authority) has recently launched two public...more

FCPA Compliance Report-Episode 308-Ben Locwin on Forecasting  [Video]

In this first part of a three part series on the risk management process, noted risk management guru Ben Locwin and I visit about forecasting in the risk management process. ...more

Day 16 of One Month to a Better Board-the Board and Succession Planning [Video]

Yesterday, I considered the Board of Director’s role in hiring of senior executives and in other key positions and corporate positions and corporate relationships. Today I want to consider the Board’s role in succession...more

Foreign Investment in Australia

Foreign investment is key to Australia’s economic development, and Australia welcomes it. As the fourth largest economy in the dynamic Asia Pacific region, Australia's competitive economy is set for continued expansion...more

UK Decision Highlights Potential Privilege Problems in Cross-Border Investigations

7 steps companies can take to maximize privilege protections under US and English law. Key Points: ..In a recent case, an English court stated that privilege did not apply to notes of employee interviews,...more

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

Day 15 of One Month to a Better Board-the Board Role in Hiring [Video]

What is the role of a Board of Directors in hiring senior executives, Chief Compliance Officers and even other Board members? I recently explored this issue with Candice Tal, founder and CEO of Infortal, a global security and...more

Day 13 of One Month to a Better Board-Board Failures in Compliance [Video]

The failure of a Board of Directors to engage in its duties and obligations around the compliance function can be devastating. Today I consider cases where Boards failed in those duties. ...more

Governance & Securities Law Focus: Latin America Edition - February 2017

This newsletter provides a snapshot of the principal US and selected international governance and securities law developments during the fourth quarter of 2016 that may be of interest to Latin American corporations and...more

Investment Promotional Agencies in South Africa

Since 1994 there has been a focus on economic growth and transformation in South Africa. In terms of the Constitution of the Republic of South Africa, 1996, the South African government is required to promote social and...more

Day 12 of One Month to a Better Board-What Leads to a Successful Board Investigation [Video]

What are metrics for a Board around compliance? Former Assistant Attorney General Leslie Caldwell laid out some that the Justice Department would consider in a review of compliance programs. These metrics are: ¥ Does the...more

The Financial Report, Volume 6, Number 3

The Ninth Circuit Court of Appeals in San Francisco is poised to rule on, with respect to President Donald Trump’s recent executive order on immigration, the question of how much power a president has to issue executive...more

The IRS Targets Thirteen Issues in Its New Compliance Campaigns

On Tuesday, January 31, the IRS announced the rollout of thirteen initial compliance campaigns that will be undertaken by its Large Business and International Division (“LB&I”). These campaigns are part of a broader IRS...more

Everything Compliance-Episode 7 [Video]

This episode is dedicated to the chaotic (at best) first three weeks of the Trump administration. Jonathan Armstrong leads a discussion of the Trump administrations devolution towards Privacy Shield and what it may portend...more

Compliance into the Weeds-Episode 28 [Video]

In this episode, Matt Kelly and I take a deep dive into the new Microsoft security analysis tool, Secure Score which will rate a company’s IT and data security protocols. We use his blog post on the topic, “Microsoft...more

The UK Modern Slavery Act – A Compliance Primer for Fund Managers

Starting this year, a significant number of fund managers based all over the world will be among the approximately 12,000 companies that will be required to publish an annual statement under the transparency provisions of the...more

Day 11 of One Month to a Better Board-What Leads to a Successful Board Investigation [Video]

What are seven factors which can lead to a successful investigation commissioned and led by a Board of Directors. In this episode, I discuss an article in the Corporate Board magazine, entitled “Successful Board...more

Bridging the Week - February 2017 #2

Retail Foreign Exchange Dealer Agrees With CFTC and NFA to Cease Doing Business for Concealing Relationship With Closely Tied Market Maker - Forex Capital Markets, LLC, a retail foreign exchange dealer, and two of its...more

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