Criminal Law, Mergers & Acquisitions, Commercial Law & Contracts

Anti-Corruption: Effective Compliance Begins with the Assessment of Risks

by Soren Lindstrom, Matt T. Morley, Amy Sommers | K&L Gates LLP on 4/11/2013

Virtually every authoritative source of guidance on effective anti-corruption compliance emphasizes the importance of conducting a company-wide “risk assessment.” For example, U.S. authorities have stressed with regard to the...more

New Competition Regulation in the United Arab Emirates - Considerations for Commercial Practices and Transactions

by King & Spalding on 1/8/2013

This briefing identifies the types of practices and transactions in which domestic competition law might be relevant to doing business in the United Arab Emirates (the UAE) in light of the new federal competition law set to...more

Criminal Antitrust Update - May 2012

by Patton Boggs LLP on 5/28/2012

IN THIS ISSUE: - Industry Scorecard Publishing: Although the case is civil rather than criminal, the U.S. Justice Department’s Antitrust Division (Division) launched a significant price-fixing lawsuit against...more

Business Pushback against Brazil Foreign Bribery Bill

by Matteson Ellis on 5/15/2012

In January 2012, FCPAméricas reported on how Brazil is currently considering an overhaul of its foreign bribery law. In March, we reported on how a special committee created by the Brazilian Congress to analyze the bill made...more

Insider Trading Compliance

by Michael Volkov on 1/13/2012

An outline of insider trading compliance program elements....more

Boards of Directors and Compliance: Four Areas of Inquiry

by Thomas Fox on 12/22/2011

In an article in the December 2011 issue of Compliance Week Magazine, entitled “Board Checklist: What Every Director Should Know”, author Jaclyn Jaeger reported on a panel discussion at the Association of...more

The Saga of MF Global - Don't Shoot the Messenger, Fire the Chief Compliance Officer

by Thomas Fox on 12/20/2011

These two bits of guidance came to mind when reading about MF Global over the past few weeks, regarding its Chief Risk Officer, the financial services equivalent of a CCO. As reported on December 15, in a New York Times (NYT)...more

Criminal Antitrust Update - December 2011

by Patton Boggs LLP on 12/19/2011

In This Issue: - INDUSTRY SCORECARD - RECENT DOCUMENT DISPUTES IN DOJ’S ACTION TO BLOCK AT&T/T-MOBILE MERGER - COMMENT: REVOCATION OF LENIENCY AGREEMENTS Excerpt from Industry Scorecard: Shipping Industry: Sea...more

McNulty's Maxims, the Deepwater Horizon and FCPA Internal Controls

by Thomas Fox on 12/19/2011

I often write about what I call Paul McNulty’s three maxims of a Foreign Corrupt Practices Act (FCPA) compliance program: 1) What did you do to prevent it?; 2) What did you do to detect it?; and 3) What did you do to...more

The FCPA Database - A Great New Resource for All Things Compliance

by Thomas Fox on 12/14/2011

Yesterday the FCPA Blog wrote about a new resource available to the compliance practitioner, the FCPA Database. Intrigued by this introduction and still needing to cool off from my rant about the worst conflict of interest...more

The Worst Conflict of Interest Move of All-Time (at least since Enron)

by Thomas Fox on 12/13/2011

In every Code of Conduct that I have seen there is a Conflict of Interest (COI) provision. Many people, including myself, have wondered why something so self-obvious as a written company Code of Conduct would be listed as the...more

Does the FCPA Apply to Retailers? Ask Wal-Mart (or Aaron Murphy)

by Thomas Fox on 12/12/2011

I am often asked the question by representatives of retailing companies of whether the Foreign Corrupt Practices Act (FCPA) applies to their businesses. While I have always answered in the affirmative, this question was...more

Risk Management - More than just Risk Assessment

by Thomas Fox on 12/8/2011

In an article in the December edition of the ACC Docket, entitled “Disciplined and Practical Risk Management”, Jim Jackson, General Counsel of Medair, discussed risk management in the non-profit arena, focusing on...more

Is Water Wet Or Is Jack Webb Still 'The Man'

by Thomas Fox on 12/7/2011

I am often asked where I come up with my ideas for blog postings. I respond that there are innumerable sources and resources in the compliance arena, in some ways perhaps too many. Today I will attempt to integrate three of...more

The Visible Hand: A New Compliance Model

by Thomas Fox on 12/6/2011

In an article in the December issue of the Harvard Business Review, entitled “First Let’s Fire All the Managers”, author Gary Hamel writes about the concept that “Management is the least efficient...more

Tyco's Seven Step Process for Third Party Qualification

by Thomas Fox on 12/1/2011

An article in the September, 2011 issue of Compliance Week, entitled, “How Tyco Turned Around Third-Party Risk Program” by author Karen Kroll, reported on the program initiated and developed by Tyco International,...more

You Have a FCPA Compliance Strategic Plan - Now What Do You Do?

by Thomas Fox on 11/29/2011

One of the things that my colleague Stephen Martin talks about is the need for strategic planning for your Foreign Corrupt Practices Act (FCPA) compliance program. He suggests a 1, 3 and 5 year strategic plan which you should...more

Fast and Furious: Corruption in Brazil and Upcoming World Cup and Olympics

by Thomas Fox on 11/14/2011

In a recent article in the Wall Street Journal (WSJ), entitled “Brazil Corruption Ills Expose Underside of Lula Legacy”, Paulo Prada reported on the corruption scandal which has engulfed the Cabinet of the current...more

TI Bribe 2011 Payors Index Report

by Thomas Fox on 11/11/2011

Last week Transparency International (TI) released its Bribe Payors Index 2011 (Index). It represents the fifth such report issued by TI, the most recent previously released in 2008. In the introduction, TI says that the...more

Louis XIV, the Old Pretender and Splitting the GC/CCO Roles

by Thomas Fox on 11/9/2011

So how does this relate Foreign Corrupt Practices Act (FCPA) compliance? It is the lesson that that all is not as it may appear at first blush. In an article in the November issue of the ACC Docket, entitled “Wearing...more

Checklist for Defending FCPA Cases

by Thomas Fox on 11/7/2011

Most readers of this blog will be familiar with the Lindsey Manufacturing and Esquenazi Rodriguez prosecutions earlier this year. Both sets of individual defendants in these cases were convicted of violating the Foreign...more

Round Up the Usual Suspects - Responses to Corruption in Resource Rich Countries

by Thomas Fox on 11/4/2011

In Casablanca, one of my favorites movies of all-time is the great line of Claude Rains as Captain Renault, when he announces “Major Strasser has been shot, round up the usual suspects.” I was reminded of this...more

Olympus Redux: Lessons Learned for Investigating a Foreign Business Partner

by Thomas Fox on 11/3/2011

There are times when facts which arise out of non-compliance matters can make excellent learning points for the compliance practitioner. The Olympus matter has become such a staple of teaching opportunities. It initially...more

The TI Six Step Approach to Implementing or Enhancing a Compliance Program

by Thomas Fox on 11/2/2011

often write about what I call the McNulty Maxims of Compliance. I heard them in a presentation by Paul McNulty to the Houston Chapter of the Texas General Counsel Association in my most recent corporate position. They were...more

The Seven Deadly Sins for a Compliance Program

by Thomas Fox on 10/31/2011

In an article in the October/November issue of Society of Corporate and Compliance Ethics Magazine (SCCE), entitled “The seven biggest mistakes companies make that erode ethical culture and destroy reputation”,...more

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Criminal Law › Mergers & Acquisitions › Commercial Law & Contracts