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FCPA Compliance and Ethics Report-Episode 182-Kate Atkinson on the Miller Chevalier Summer 2015 FCPA Report [Video]

In this episode I visit with Kate Atkinson, a partner at Miller Chevalier. She discusses the firm's recent FCPA Summer Report, noting some trends she sees and where enforcement may be heading. We also visit about the DOJ...more

MPT to Acquire GTCR-Backed Capella; Shows Value Added for PE in Hospital Space

MPT is a Birmingham, Ala.-based self-advised real estate investment trust. Capella is one of the largest for-profit hospital companies in the U.S. Based in Franklin, Tenn., Capella owns and/or operates seven hospitals across...more

Private IPOs and Unicorns May Trigger More H-S-R Act Filings

The talk of the financial press and venture community during the first half of 2015 has been of private IPOs and unicorns. And for good reason. According to CB Insights, there are more than 588 investor-backed tech companies...more

FCPA Compliance and Ethics Report-Episode 181-Gar Hurst on Using Social Media Tools In Your Compliance Program [Video]

In this episode I visit with Gar Hurst, a partner at Givens and Johnston, an import/export compliance firm. He and his firm have developed a SW app, which capitalizes on social media concepts to assist his clients in import...more

IRS Determination Letter Program for Qualified Retirement Plans to Be Significantly Curtailed

In Announcement 2015-19 (Announcement), the Internal Revenue Service (IRS) has indicated that it is eliminating the staggered five-year determination letter (DL) remedial amendment cycles for individually designed...more

Private Equity Newsletter - Summer 2015 Edition: SEC Charges Corporate Insiders for Failing to Update Beneficial Ownership...

Enforcement actions raise potential disclosure concerns for private equity sponsors exploring investments in public companies - Earlier this year, the U.S. Securities and Exchange Commission (“SEC”) announced charges...more

FCPA Compliance and Ethics Report-Episode 180-Introducing the FCPA Master Class Training [Video]

In this episode I discuss my new service offering, the FCPA Master Class training. This training will be the premier nuts and bolts training on how to create, implement or enhance a best practices compliance program. ...more

FCPA Compliance and Ethics Report-Episode 179-Tim Peterson on the FIFA Bribery Scandal and the SEC Investigation [Video]

In this episode I visit with Tim Peterson, a partner at McGonigle and Murphy on the burgeoning FIFA bribery scandal, the recent announcement that the SEC is investigating US companies involved with FIFA and the reasons folks...more

Private Equity Newsletter - Summer 2015 Edition: Where’s the Exit? New Opportunities in China for Private Equity Firms

It has long been a well established exit route in developed markets for a private equity firm to sell its interest in a portfolio company to a listed company in exchange for shares in that listed company. Until recently, this...more

FCPA Compliance and Ethics Report-Episode 178-Ben Locwin on Risk Assessments [Video]

In this episode I visit with Ben Locwin, about his thought leadership around risk assessments. Ben has written extensively on the quantitative nature of risk assessments and various type of risk assessments. ...more

FCPA Compliance and Ethics Report-Episode 177-Communication of Tone Around Compliance in your company [Video]

In this episode I discuss how to create and communicate a culture of compliance or tone throughout an organization. ...more

New Obligations for Foreign Investors in Agricultural Land in Australia

The Australian Government has demonstrated its commitment to create greater transparency around foreign investment in agricultural land by introducing a national Foreign Ownership of Agricultural Land Register (Register)....more

District Court Rules Privately-Held Stock Plan Fiduciary May Have Affirmative Duty To Disclose

A federal district court in Georgia held that plan fiduciaries of a closely-held company’s single stock ERISA fund may have a duty to disclose material, non-public information concerning the value of the company’s shares when...more

Investing in the United States: CFIUS Concerns for Chinese Investors

On February 26, 2015, the Committee on Foreign Investment in the United States (“CFIUS”) - the interagency body charged with reviewing the impact on U.S. national security of any merger, acquisition or takeover that could...more

Guide To Doing Business in New Zealand: Regulation of Foreign Investment (Updated)

REGULATION OF FOREIGN INVESTMENT - One of the first matters a foreign company or investor must consider when planning to invest in New Zealand is the impact of New Zealand’s foreign investment policy. REGULATION...more

FCPA Compliance and Ethics Report-Episode 176-Tim Treanor on the PetroTiger Declination [Video]

In this episode, I visit with Tim Treanor, a partner at SidleyAustin. He was lead counsel for PetroTiger in its FCPA investigation. Tim talks about his investigation protocol and the arguments which led the DOJ to grant a...more

Federal Reserve Releases First Determination of Aggregate Consolidated Liabilities of all Financial Companies

On July 1, the Federal Reserve Board released its first determination of the aggregate consolidated liabilities of all financial companies in accordance with section 622 of the Dodd-Frank Act, which prohibits any financial...more

FCPA Compliance and Ethics Report-Episode 175-Debra Bruce on new methods for law firm funding and its implications [Video]

In this episode I visit with Debra Bruce, Principle at Lawyer-Coach. She discusses the recent IPO of the English law firm Gately and alternative funding vehicles available to UK law firms. She explains how these new models...more

Private Equity Newsletter - Summer 2015 Edition: Recent Developments in Acquisition Finance

As we discussed in a prior newsletter, the evolving landscape for regulated financiers under the Leveraged Lending Guidance1 promulgated by the Federal Reserve Board, FDIC and OCC has increased uncertainty for regulated...more

FCPA Compliance and Ethics Report-Episode 174-Matt Kelly on Dodd-Frank, Uber and Upcoming Compliance Week events [Video]

In this episode I visit with Compliance Week Editor Matt Kelly on how Dodd-Frank is working and affecting financial services, Uber and the recent ruling from the California Labor Board finding one Uber driver an employee and...more

FCPA Compliance and Ethics Report-Episode 173-Adam Turteltaub on upcoming SCCE events [Video]

In this episode, I visit with Adam Turteltaub from the SCCE. He discusses some upcoming SCCE academies and other events, including the 2015 Compliance and Ethics Institute, which will be held from Oct. 4-7 in Las Vegas. Adam...more

Guide to Doing Business in New Zealand: Company Law (Updated)

COMPANY LAW - Some general matters relating to company law in New Zealand are discussed below. REGULATORY SCHEME - The Companies Act principally regulates companies. The Companies Act, together...more

How New Rail Regulations May Spur Midstream M&A

Over the past several months we’ve seen a rise in mergers and acquisitions among midstream energy firms. A variety of factors will likely push more firms to consider M&A, but one factor stands out: new regulations surrounding...more

“Notable By Their Absence: Finders And Other Financial Intermediaries In Small Business Capital Formation”

Small businesses are often regarded as the catalyst for economic growth in the United States. Small businesses account for the creation of two-thirds of all new jobs, and are the incubators of innovation. The majority of...more

"Despite Decline in IPO Activity, US Capital Markets Remain Strong in 2015"

Although the number of U.S. IPOs in 2015 is down compared to this time last year, the U.S. equity and debt markets continue to remain strong. The number of follow-on equity offerings is up 41 percent from last year, with a...more

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