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FCPA Compliance Report-Episode 302-Carlos Ayers on the Odebrecht Settlement from Brazil [Video]

In this episode I visit with Carlos Ayers, a founding partner at the Sao Paulo law firm of Maeda, Ayres & Sarubbi about the state of anti bribery compliance in Brazil, how the Brazilian legal and compliance communities view...more

Day 23 of 30 Days to a Better Compliance Program-Answering Questions [Video]

I often write about the nuts and bolts of an effective compliance program but one of the most basic things that an effective compliance program must have is a compliance department present to ask the basic questions of...more

Day 22 of 30 Days to a Better Compliance Program-the Regional Compliance Committee [Video]

Earlier I considered the Compliance Oversight Committee. Today, I want to you to consider another compliance committee which could positively impact your compliance regime, the Regional Compliance Committee which is created...more

Day 21 of 30 Days to a Better Compliance Program-the Board of Directors Compliance Committee [Video]

The Compliance Oversight Committee sits between the CCO and the Board’s compliance committee. The role of this Compliance Oversight Committee is to provide oversight and review of items such as third party approvals and...more

This Week in FCPA-Episode 36-Jeff Bagwell in the Hall of Fame edition [Video]

Show Notes for Episode 36, week ending January 20, the Jeff Bagwell in the Hall of Fame edition: 1. Jeff Bagwell admitted into the Hall of Fame. 2. Rolls Royce-stunning $800MM global settlement, including resolutions with...more

Peer-to-Peer Lending Regulation Released by OJK

In light of the rapid development of peer-to-peer (P2P) lending using information technology (IT) ("P2P Lending") in Indonesia, on 28 December 20161 the Indonesian Financial Services Authority ("OJK") enacted OJK Regulation...more

Day 20 of 30 Days to a Better Compliance Program-the Board of Directors Compliance Committee [Video]

Under the US Sentencing Guidelines, the Board must exercise reasonable oversight on the effectiveness of a company’s compliance program. The US Department of Justice (DOJ) Prosecution Standards posed the following queries:...more

Day 19 of 30 Days to a Better Compliance Program-Compliance Expertise on the Board [Video]

Every Board of Directors need a true compliance expert sitting on their Board. Almost every Board has a former Chief Financial Officer (CFO), former head of Internal Audit or persons with a similar background and often times...more

Day 18 of 30 Days to a Better Compliance Program-Email Sweeps [Video]

Ongoing monitoring is not limited to the financial component of compliance. The concept is straightforward; at regular intervals you can sweep through your company email database for identified key words that can be flagged...more

Day 17 of 30 Days to a Better Compliance Program-Uncovering Shell Companies [Video]

One of the more prescient authors I know is Ryan C. Hubbs, who in 2014, wrote an article for Fraud Magazine entitled “Shell Games”. Shell companies can come in different shapes and sizes. Shelf companies are those formed but...more

Compliance into the Weeds-Episode 25 [Video]

In this episode Matt Kelly and I take a deep dive into a couple of recent SEC enforcement actions. The first involved L-3 Technologies and accounting irregularities. The second involves BlackRock and the continued issues...more

Corporate and Financial Weekly Digest - Volume XII, Issue 2

2017 Examination Priorities Announced by the SEC - On January 12, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2017 examination priorities, which seek to...more

Acquisition of Shares in Public Companies Before the SEJM

A parliamentary bill has been submitted with the Sejm, repealing an obligation to submit a tender offer in connection with the acquisition of shares giving the right to 10% of the total number of votes at the General Meeting...more

Day 15 of 30 Days to a Better Compliance Program-Post Training Evaluation [Video]

What if you want to take you post-training analysis to a higher level and begin to consider the effectiveness through your return on investment (ROI)? Joel Smith, the founder of Inhouse Owl, a training services provider,...more

This Week in FCPA-Episode 35-the Friday the 13th edition [Video]

Show Notes for Episode 35, week ending January 13, the Friday the 13th edition   1.       Hernandez and Beech FCPA guilty pleas. 2.       VW guilty plea in emissions-testing scandal. 3.       VW executive Oliver...more

Day 13 of 30 Days to a Better Compliance Program, create a data action plan [Video]

You should work to create an action plan to use your data. But never forget you need to get your digital information right. That means several sources of data to help you choose the best course of action. Earlier this year,...more

Day 12 of 30 Days to a Better Compliance Program, creating a culture of data in compliance [Video]

You should work to create a culture of data in your compliance program. This comes from an understanding that data is a product, which you can consume internally in the compliance function. Your data is a corporate asset so...more

Culture: Meeting Regulatory Expectations

“Culture remains a key driver of significant risks … and the root cause of high-profile and significant failings. Our focus on culture in financial services firms and its impact on conduct has been, and remains, a priority....more

Will Economic Momentum Continue in the Philippines? [Video]

“The Philippines has been one of Asia’s fastest growing economies, largely spurred by targeted government and public-private partnership spending,” said Benjamin Carale, a partner in Latham & Watkins’ Hong Kong office, who...more

New IRS Reporting Rule Could Bite Unwary Foreign Investors

There are two main sources of reporting requirements for foreign investors in the United States — the Internal Revenue Service and the Bureau of Economic Analysis. The IRS recently upped its game by requiring reports from...more

DIFC to Launch FinTech Hive

The Dubai International Financial Center (DIFC) is set to launch the FinTech Hive—an accelerator program for developing financial technology (fintech) start-ups and entrepreneurs—in the first quarter of 2017. The FinTech Hive...more

Compliance into the Weeds-Episode 24 [Video]

In this episode Matt Kelly and myself take a deep dive into the compliance weeds by looking at a paper written by then SEC General Counsel James Doty (later head of the PCAOB) in 2007 where he proposes a regulatory scheme for...more

The Developing CFIUS Framework and Recent Presidential Order Prohibiting the Aixtron Transaction

Among the various challenges facing stakeholders in cross-border M&A deals is a potential national security review of the transaction by the Committee on Foreign Investment in the United States (CFIUS) and the possibility of...more

Day 10 of 30 Days to a Better Compliance Program, Mergers and Acquisitions [Video]

A company that does not perform adequate due diligence prior to a merger or acquisition may face both legal and business risks. Perhaps, most commonly, inadequate due diligence can allow a course of bribery to continue - with...more

Loss of Foreign Fund Private Placement Exemptions in the UAE

In August 2016, the Emirates Securities and Commodities Authority (SCA), the federal securities regulator of the United Arab Emirates (UAE), adopted new investment funds regulations (the 2016 Fund Regulations), which repealed...more

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