Franchise Law, Securities Law

Lessons Learned from the BizJet Executives FCPA Enforcement Actions [Video]

by Thomas Fox on 4/18/2013

BizJet self-disclosed to the DOJ, engaged in what the DOJ termed “extraordinary cooperation” and remediated the people and conduct in question. Further, DuBois and Uhl not only offered themselves up but actively worked with...more

California Bill Would Expand Liability For Securities Fraud, Impose New Fees, Expand Commissioner’s Powers

by Keith Paul Bishop | Allen Matkins Leck Gamble Mallory & Natsis... on 4/5/2013

In late February, Senator Jerry Hill introduced a bill, SB 538, to substantially amend the Franchise Investment Law. A few days later, the bill was read for the first time and set for hearing by the Senate Banking and...more

Class Actions in Canada 2012 - The Year in Review and The Year Ahead

by Deborah Glendinning, Christopher Naudie, Éric Préfontaine | Osler, Hoskin & Harcourt LLP on 1/30/2013

In This Issue: Introduction; Class Action Practice Developments; Common Issues Trials; Class Actions in Quebec; Securities Class Actions; Competition Class Actions; Product Liability Class Actions; Franchise Class...more

The Eli Lilly FCPA Enforcement Action-Lessons Learned [Video]

by Thomas Fox on 1/3/2013

The Lilly FCPA enforcement action, as laid out in the SEC Complaint, provides the compliance practitioner with solid information which can be used in a variety of ways to strengthen an anti-corruption/anti-bribery compliance...more

The CCO: Co-Equal to the General Counsel in the Eyes of the DOJ?

by Thomas Fox on 12/20/2012

One of the items that the Department of Justice (DOJ) has increasingly focused on in its enforcement actions is the role of the Chief Compliance Officer (CCO) and whether this position has adequate staffing and resources to...more

Race to the Bottom: Wal-Mart’s FCPA Investigation and the Houston Astros

by Thomas Fox on 12/19/2012

So who do you think had the better day – the Houston Astros Monday or Wal-Mart Tuesday? Yesterday, the Astros announced the signing of Carlos Pena to be their Designated Hitter (DH) for the 2013 season. Pena’s 2012 average –...more

Banks Behaving Badly or Brother Can You Spare A Billion (or Two)?

by Thomas Fox on 12/18/2012

Remember when a billion dollars was real money? Over the past couple of weeks there have been some mammoth fines paid by financial institutions for conduct, which would appear to fall under the category of “Banks Behaving...more

Days of Future Passed: The Moody Blues and the End of Facilitation Payments?

by Thomas Fox on 12/17/2012

This past weekend I caught the Moody Blues’ tour celebrating the 45th anniversary of their seminal classic album, “Days of Future Passed”. This was the second album released by the band and while I had always thought of it as...more

A Cornucopia of Great FCPA Articles for Your Friday Consideration

by Thomas Fox on 12/14/2012

It has been a great couple of weeks for article regarding the Foreign Corrupt Practices Act (FCPA). While I have resisted having a Friday Round Up of all things FCPA compliance related because both the FCPA Professor, on his...more

The Ethical Business Compact-A New Compliance Best Practice?

by Thomas Fox on 12/13/2012

Found on page 54 of the recently released Department of Justice (DOJ) Guidance on the Foreign Corrupt Practices Act (FCPA) is the following language: “Chapter 8 of the Sentencing Guidelines, which governs the sentencing of...more

The Ethical Business Compact-A New Compliance Best Practice?

by Thomas Fox on 12/13/2012

Found on page 54 of the recently released Department of Justice (DOJ) Guidance on the Foreign Corrupt Practices Act (FCPA) is the following language: “Chapter 8 of the Sentencing Guidelines, which governs the sentencing of...more

Doing More with Less in Your Compliance Program (Not the 2013 Astros)

by Thomas Fox on 12/12/2012

t was reported today that the Houston Astros pitchers and catchers report for Spring Training on February 11, 2013, with position players reporting on February 15. I thought about how much I used to look forward to Spring...more

How to Create a Post-Acquisition FCPA Compliance Program Integration Plan

by Thomas Fox on 12/11/2012

Your company has just made its largest acquisition ever and your Chief Executive Officer (CEO) says that he wants you to have a compliance post-acquisition integration plan on his desk in one week. Where do you begin? Of...more

The FCPA Guidance and Declinations

by Thomas Fox on 12/9/2012

I have previously written about my belief that the US Department of Justice (DOJ) should go further in releasing information about Declinations to Prosecute Foreign Corrupt Practices Act (FCPA) cases self-reported to both it...more

How the Noir Novel Informs Your Compliance Program

by Thomas Fox on 12/7/2012

In the Work Matters column in the December 3 Issue of the Texas Lawyer, in an article entitled, “Ten Phrases Lawyers Hear That Portend Disaster” author Michael Maslanka explored his love of noir fiction, which I...more

Can a Party to Bribery be a Victim under the Crime Victim Rights Act?

by Thomas Fox on 12/6/2012

It is the matter that my This Week In FCPA colleague Howard Sklar calls “This little lawsuit that could.” As reported by the FCPA Professor last week, the Instituto Costarricense De Electricidad (ICE) filed a...more

Five Essentials of a Chief Compliance Officer Position

by Thomas Fox on 12/5/2012

Most of Shakespeare’s histories involve issues relating to kingship and how a king might reign. In some of the plays, such as Henry V, the example is of a positive nature. In others, such as Richard III, you may need to...more

Using History to Create or Rebuild a Compliance Culture

by Thomas Fox on 12/3/2012

I have worked for and with a number of companies that may seem to have lost their compliance path and have become embroiled in a lengthy Foreign Corrupt Practices Act (FCPA) or UK Bribery Act investigation. They may need to...more

China 20/20 Legal & Regulatory Developments - September 29, 2012

by Orrick, Herrington & Sutcliffe LLP on 10/1/2012

In This Issue: - 12th Five Year Plan for Financial Industry Development and Reform - 12th Five Year Plan for the Development of Cloud Computing in China - MOFCOM Establishes Administrative Office for Commercial...more

Baker & McKenzie: Bell Appeal Judgment Delivered

by Baker & McKenzie Australia on 8/30/2012

The Western Australian Court of Appeal has today delivered its judgment in the appeal of Westpac Banking Corporation v The Bell Group Ltd (in Liq) [2012] WASCA 157 ( The Bell Appeal ). The Court substantially rejected the...more

Will the UK Let the Light of Day Shine Into Its Regulatory Process

by Thomas Fox on 8/30/2012

Should the regulators process be shrouded in mystery or should there be disclosure into the light of day? That is a question currently before authorities in London. As reported in the Financial Times (FT) column Inside...more

Infobytes - August 17 2012 - A Weekly In-depth review of news & developments in the financial services industry.

by BuckleySandler LLP on 8/22/2012

TOPICS COVERED THIS WEEK - FEDERAL ISSUES - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - E-COMMERCE - PRIVACY/DATA SECURITY Excerpt From Federal Issues: CFPB...more

Pfizer DPA Part II – Enhanced Compliance Obligations and Corporate Compliance Obligations

by Thomas Fox on 8/12/2012

Last week I began an exploration of the Pfizer Deferred Prosecution Agreement (DPA) which was announced last week by the Department of Justice (DOJ) in connection with its settlement of Foreign Corrupt Practices Act (FCPA)...more

Barclay’s Speeding Defense and GlaxoSmithKline’s Claw backs – Implications for FCPA Compliance

by Thomas Fox on 7/10/2012

I once heard James Baker say that the only way to know how a person will perform as President of the United States is by being President. In other words, there is no way to test how a person will respond to the stresses and...more

Sharma v. Timminco Limited - Limiting Suspension under Section 28 of the Class Proceedings Act

by Osler, Hoskin & Harcourt LLP on 2/23/2012

I. OVERVIEW A recent decision of the Ontario Court of Appeal in Sharma v. Timminco Limited (Timminco) suggests that a plaintiff and/or class members in a class action must comply with time-limited leave,...more

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Franchise Law › Securities Law

Lessons Learned from the BizJet Executives FCPA Enforcement Actions [Video]

California Bill Would Expand Liability For Securities Fraud, Impose New Fees, Expand Commissioner’s Powers

Class Actions in Canada 2012 - The Year in Review and The Year Ahead

The Eli Lilly FCPA Enforcement Action-Lessons Learned [Video]

The CCO: Co-Equal to the General Counsel in the Eyes of the DOJ?

Race to the Bottom: Wal-Mart’s FCPA Investigation and the Houston Astros

Banks Behaving Badly or Brother Can You Spare A Billion (or Two)?

Days of Future Passed: The Moody Blues and the End of Facilitation Payments?

A Cornucopia of Great FCPA Articles for Your Friday Consideration

The Ethical Business Compact-A New Compliance Best Practice?

The Ethical Business Compact-A New Compliance Best Practice?

Doing More with Less in Your Compliance Program (Not the 2013 Astros)

How to Create a Post-Acquisition FCPA Compliance Program Integration Plan

The FCPA Guidance and Declinations

How the Noir Novel Informs Your Compliance Program

Can a Party to Bribery be a Victim under the Crime Victim Rights Act?

Five Essentials of a Chief Compliance Officer Position

Using History to Create or Rebuild a Compliance Culture

China 20/20 Legal & Regulatory Developments - September 29, 2012

Baker & McKenzie: Bell Appeal Judgment Delivered

Will the UK Let the Light of Day Shine Into Its Regulatory Process

Infobytes - August 17 2012 - A Weekly In-depth review of news & developments in the financial services industry.

Pfizer DPA Part II – Enhanced Compliance Obligations and Corporate Compliance Obligations

Barclay’s Speeding Defense and GlaxoSmithKline’s Claw backs – Implications for FCPA Compliance

Sharma v. Timminco Limited - Limiting Suspension under Section 28 of the Class Proceedings Act

Lessons Learned from the BizJet Executives FCPA Enforcement Actions [Video]

The Eli Lilly FCPA Enforcement Action-Lessons Learned [Video]

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