International Trade Securities

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Sustainable Commodities: EU Conflict Minerals Regulation

Earlier this month, the European Parliament voted to adopt the final text of an EU Conflict Minerals Regulation (the “Regulation”), which will require smelters, refiners and importers into the EU of tin, tantalum, tungsten,...more

FCPA Compliance Report-Episode 318-Erica Byrne on Ethisphere's 2017 World's Most Ethical Companies [Video]

In this episode, I visit with Erica Salmon Byrne, EVP at Ethisphere on the 2017 World’s Most Ethical Companies honorees. Erica goes into how the corporate compliance programs are evaluated, what the companies disclose to...more

Day 19 of One Month to Operationalizing Your Compliance Program-Operationalizing Compliance Through Leadership From The Top [Video]

Many companies struggle with some type of metric which can be used for upper management regarding compliance and communication of a company’s compliance values. One technique might be to require the CEO to post companywide...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - OCC Provides Additional Details to Evaluate Charter Applications From Fintech Companies - On March 15, 2017, the Office of the Comptroller of the Currency ("OCC") issued a "Draft...more

This Week in FCPA-Episode 45-the Compliance is Good for Business Edition [Video]

In this episode, Jay and I have a wide-ranging discussion on why good compliance is good for business. We discuss: 1. LRN Ethics and Compliance Program Effectiveness Report. 2. Ethisphere’s 2017 World’s Most Ethical...more

Hague Securities Convention to Enter Into Effect in the United States - Choice of Law in Respect of Securities Held by...

On April 1, 2017, the Hague Securities Convention — or by its actual name, the Convention on the Law Applicable to Certain Rights in Respect of Securities Held with an Intermediary — will enter into effect in the United...more

Day 18 of One Month to a Operationalizing Your Compliance Program-Through Management of 3rd Party Relationships [Video]

The Department of Justice Evaluation of Corporate Compliance Programs states, in Prong 10, Third Party Relationships: Management of Relationships – How has the company considered and analyzed the third party’s incentive...more

Everything Compliance-Episode 9, DOJ Evaluation of Corporate Compliance Programs, Part II [Video]

This episode is dedicated to the Justice Department’s Evaluation of Corporate Compliance Programs, which was released in February. In this episode, Jay Rosen and Jonathan Armstrong provide next insight. Listen to last week’s...more

Foreign Private Issuers May Begin Submitting Their Financial Statements in XBRL

On March 1, 2017, the Securities and Exchange Commission (SEC) provided notice that the International Financial Reporting Standards (IFRS) taxonomy has been published on the SEC’s website as provided for by the EDGAR Filer...more

Updates on Public Company GMS and shareholders reporting

On March 14, 2017, the Indonesian Financial Services Authority (Otoritas Jasa Keuangan or "OJK") issued two regulations impacting voting rights at a General Meeting of Shareholders of Public Companies ("GMS") and transparency...more

FCPA Compliance Report-Episode 316-Kristy Grant-Hart & a debate on ISO 37001 Certification [Video]

In this episode Kristy Grant-Hart, author of How to be a Wildly Successful Compliance Officer, joins me to debate the merits of the ISO 37001 certification. I think the process is worse than useless while Kristy believes it...more

FCPA Compliance Report-Episode 317-Susan Divers on LRN 2016 Compliance Program Effectiveness Report [Video]

In this episode, I visit with Susan Divers on the recently released LRN Ethics and Compliance Program effectiveness report. ...more

Your Daily Dose of Financial News

White Collar Watch dates itself considerably with its Perry Mason allusion, but its bigger point is an interesting one–good luck finding a true “gotcha” moment when dealing with what are “quintessentially offenses of the...more

EMIR Exemptions for Central Banks in Six Countries

The European Commission published a report on the international treatment of Central Banks and public entities managing public debt with regard to OTC derivatives transactions. The European Market Infrastructure Regulation...more

Proposed Judgment in Conflict Minerals Case

Pursuant to a court order, the parties to the conflict minerals case have filed a proposed judgment after they advised the court no further proceedings were necessary. The text of the proposed judgment is as follows...more

Commercial Division Dismisses Claim Against Major Chinese Securities Firm Due to Lack of Personal Jurisdiction

In Lantau Holdings, Ltd. v. Orient Equal International Grp., No. 653920/2016, 2017 BL 77469 (Sup. Ct. Mar. 6, 2017), Judge Anil C. Singh of the New York County Commercial Division dismissed several claims by the plaintiff,...more

Blog: European Parliament approves conflict minerals rules for the EU

Last week, the European Parliament approved, by a vote of 558 to 17 with 45 abstentions, new rules on conflict minerals, 3TG—tin, tungsten, tantalum and gold. Proceeds from the sale of conflict minerals, which are used in...more

Compliance Report-International Edition, Carlos Ayres [Video]

In this episode i visit with Brazilian compliance practitioner Carlos Ayres on recent developments in Brazil and South America in the ongoing fight against bribery and corruption....more

Day 15 of One Month Operationalizing Your Compliance Program-Determining the Effectiveness of Compliance Training [Video]

The importance of determining effectiveness and the evaluation of your ethics and compliance program is now enshrined by the Department of Justice (DOJ) in its Evaluation. The Evaluation is the first formal step taken by the...more

China Tightens Regulations on Investing Insurance Funds in Shares of Listed Companies

The entire Chinese economy, including its insurance industry, has experienced rapid growth in recent years. Speculative investments have become an inevitable byproduct of this growth. One of the most well-known examples of a...more

Corporate and Financial Weekly Digest - Volume XII, Issue 10

CFTC Extends Public Comment Period for Swap Dealers and Major Swap Participants Minimum Capital Requirement Proposal - On March 16, the Commodity Futures Trading Commission published in the Federal Register its decision...more

Saudi Arabia Approves New Corporate Governance Regulations

The publication of the Regulations is driven by the continued effort to attract additional foreign investment into the Kingdom and to harmonize the CMA’s own rules with those of the newly revised Companies Law2, as overseen...more

Day 14 of One Month Operationalizing Your Compliance Program-Regional Compliance Committee [Video]

The requirement for tailored training and how this leads to operationalizing your compliance program. Consider the current best practices to tailor your compliance training. It is through a risk ranking system of employee job...more

This Week in FCPA-Episode 44-the St. Patrick's Day Edition [Video]

In this episode, Jay and I have a wide-ranging discussion on the intersection of culture and ethics. We discuss: 1. German authorities raid at VW investigation counsel, Jones Day, offices in Germany and what it may portend...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - House Committee on Financial Services Comments on OCC Fintech Charter - All 34 Republican members of the Financial Services Committee of the U.S. House of Representatives, including...more

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