Labor & Employment Law, International Law & Trade, Securities Law

Employers With Share Option Schemes Take Note…

by Richard Cook, James Ross | McDermott Will & Emery on 5/23/2013

A recent decision of the United Kingdom’s First Tier (Tax) Tribunal has provided a timely reminder of the importance for employers of notifying their employees of the requirement to promptly reimburse the employer for income...more

Corporate and Financial Weekly Digest - May 10, 2013

by Katten Muchin Rosenman LLP on 5/13/2013

In this issue: - SEC Roundtable Discusses Current Securities Law Topics at 33rd Annual Ray Garrett Jr. Corporate and Securities Law Institute - SEC Reopening Comment Periods for Certain Rulemaking Releases and...more

Anti-Corruption High-Risk Audits

by Michael Volkov on 4/29/2013

The Justice Department and the SEC should be credited with promoting new compliance strategies and best practices. Whatever you may think about the DOJ/SEC FCPA enforcement program, they have pushed businesses to enhance...more

Whistleblowing in the UK – the latest developments and a review of the law

by Daniel Ornstein | Proskauer - Whistleblowing & Retaliation on 4/9/2013

In recent months, the UK has seen a growing focus on the protection afforded to whistleblowers. This attention has emerged because of recurring question linking diverse scandals, such as phone hacking and those that have hit...more

Government Issues New FCPA Guidance: $12,000 Birthday Party Not the Way to Go

by Yonaton Aronoff | Foley & Lardner LLP on 4/2/2013

Employers concerned about their organizations’ FCPA compliance have a new, free resource available to them. Recently, the DOJ and the SEC published a long-awaited FCPA guidance for employers. The comprehensive guidance...more

Breaking Bad: When A Good Employee Goes Bad?

by Michael Volkov on 3/19/2013

No matter how strong a company’s compliance program, there is always a risk. No matter how many times employees are trained, complete certifications and are reminded of their FCPA compliance obligations, there is always a...more

Anti-Corruption Compliance Check-Ups

by Michael Volkov on 3/11/2013

The Justice Department’s message is getting through. The two-fisted strategy of aggressive enforcement and public cajoling on the importance of compliance is being heard by the business community. The Justice Department and...more

The SEC Speaks: Reflections and Enforcement Initiatives in 2013

by Randall Fons, Brian Hoffman, Tiffany Rowe | Morrison & Foerster LLP on 3/6/2013

Each year at The SEC Speaks, the Commissioners and senior leadership of the Securities and Exchange Commission identify the agency’s priorities and initiatives for the coming year. Of course, one of the most anticipated...more

Summary of FSA Answers to Public Comments on Proposed Amendments to Asset Management Regulations as a Result of the AIJ Scandal

by Tomoko Fuminaga, Norifusa Hashimoto, Koichiro Ohashi, Christopher P. Wells | White & Case LLP on 3/5/2013

This Client Alert is a summary of important observations contained in the response of the Financial Services Agency of Japan (“FSA”) to public comments on proposed amendments to the various financial regulations of Japan in...more

SEC Enforcement Update - The SEC Speaks in 2013

by King & Spalding on 3/5/2013

The U.S. Securities and Exchange Commission held its annual SEC Speaks program in Washington, D.C. on February 22-23, 2013. In the postfinancial crisis, post-Dodd-Frank world, it is clear that the Commission and its staff are...more

Sands’ Casinos Report of “Possible” FCPA Violations Will Draw Scrutiny to the Gaming Industry

by Brett W. Johnson, Heidi McNeil Staudenmaier | Snell & Wilmer L.L.P. on 3/5/2013

On Friday, March 1, 2013, the parent company of the Las Vegas Sands Corp. (Sands), reported in a filing to the Securities and Exchange Commission (SEC) that the company may have violated the “books and records and internal...more

UK Government Publishes Proposals for Changes to Law on Share Buy Backs

by Gemma Goodhead, Iain Wright | Morgan Lewis on 2/27/2013

Proposals aim to help companies make greater use of employee share schemes and equity arrangements. On 15 February, the UK Government published its response to its consultation on the share buy back recommendations made...more

Small Business Securities Bulletin - Smaller Reporting Companies Become Subject to Say-on-Pay in 2013; New Iran/Terrorism...

by Penny Somer Greif | Ober|Kaler on 2/25/2013

A periodic bulletin keeping small businesses informed about current developments in securities law and related matters. For the first time, smaller reporting companies are subject, in 2013, to the stockholder advisory...more

China 20/20 Legal Regulatory Developments - February 2013

by Seung Chong, Elizabeth Cole, Veronica Lockyer, Yan Zeng | Orrick, Herrington & Sutcliffe LLP on 2/24/2013

In This Issue: - The Decision of the Standing Committee of the National People's Congress on Revising the Labor Contract Law of the People's Republic of China Released - MOFCOM Solicits for Public Comments on the...more

Corporate and Financial Weekly Digest - February 15, 2013

by Katten Muchin Rosenman LLP on 2/18/2013

In this issue: - FINRA Proposes Rule Change that Would Require Reporting OTC Equity Transactions Within 10 Seconds - FINRA Offers Changes to Proposed Rules Governing Markups, Commissions and Fees - CFTC Permits...more

How Does Your Organization Treat Whistleblowers?

by Thomas Fox on 2/8/2013

As almost everyone knows, Lance Armstrong spoke for the first time about his performance enhancing drug (PED) use recently on Oprah. On the first night he admitted for the first time that he used PEDs during his seven wins at...more

Siemens Whistleblower Complaint Underscores Need for "Top-Down" Anti-Corruption Compliance

by Anthony Moshirnia | Sheppard Mullin Richter & Hampton LLP on 2/4/2013

In 2008, Siemens AG paid $800 million to settle charges that it had violated the Foreign Corrupt Practices Act, which generally prohibits bribery of foreign officials for the purpose of obtaining or retaining business. That...more

Occupational fraud involves a personal breach of trust

by Thomas Fox on 2/4/2013

Ed. Note-today we are pleased to begin a three part guest series from our colleague Mary Shaddock Jones. My husband, Brian R. Jones, is a CPA, a Certified Fraud Examiner and a member of the Association of Certified...more

Disclosure tips for 2013

by Bonnie J Roe | Cohen & Gresser LLP on 1/18/2013

The proxy and annual reporting season has begun, with relatively few changes in reporting requirements from last year. Here are some tips to take you through the season and prepare for changes to come. 1. Consider the...more

Global Perspectives - Fall 2012

by Sophie Borenstein, Jeremy Glover, Craig P. Tanner | Reed Smith on 12/29/2012

In this issue: - Important Changes to Employee Share Plans in UK - Significant Changes to Stock Options and RSUs (free shares) in France - Year-End Global Stock Plan Reporting Requirements -...more

Legislative Update Report No. 2012-22 - Nov 30, 2012

by Osler, Hoskin & Harcourt LLP on 12/5/2012

In This Article: Federal Government; Alberta; British Columbia; Manitoba; New Brunswick; Newfoundland; Northwest Territories; Nova Scotia; Nunavut; Ontario; Prince Edward Island; Québec/Quebec; Saskatchewan; and...more

A Clear Illustration of How HR & Employment Law Best Practices Intersect With Compliance

by Lloyd B. Chinn, Harris M. Mufson, Steven J. Pearlman | Proskauer - Whistleblowing & Retaliation on 11/29/2012

On November 14, 2012, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) jointly issued a guide to the Foreign Corrupt Practices Act (FCPA) titled: A Resource Guide to the U.S. Foreign Corrupt...more

New Guide Examines SEC and DOJ Enforcement of Foreign Corrupt Practices Act

by Marta Moakley | XpertHR - Partnered with LexisNexis on 11/15/2012

The Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) have released a comprehensive Resource Guide to the US Foreign Corrupt Practices Act (FCPA). The 120-page guide includes practical examples of...more

China 20/20 - Legal & Regulatory Developments - November 2012

by Orrick, Herrington & Sutcliffe LLP on 11/2/2012

In This Issue: - China Finalized the Amendments to the Rules for Establishing Foreign Invested Securities Companies - Notice of the Ministry of Culture on Implementing Supplementary Provisions IX to CEPA -...more

Federal Courts Bars Extraterritorial Application of Dodd-Frank’s Anti-Retaliation Provision to Whistleblowers Employed Abroad

by Sutherland Asbill & Brennan LLP on 10/23/2012

In Asadi v. G.E. Energy (USA), LLC, a federal district court in Texas held that Dodd-Frank’s anti-retaliation protections for SEC whistleblowers do not apply to employees stationed abroad. Although the Asadi holding may not...more

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Labor & Employment Law › International Law & Trade › Securities Law