Mergers & Acquisitions Finance & Banking

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Passive Means Passive! Missed HSR Filing Spurs Antitrust Enforcers' Ire - But Change May Be Coming

The Federal Trade Commission, in its latest enforcement action relating to Hart-Scott-Rodino Act compliance, reminds investors that strict adherence to HSR filing requirements is a must, but also may have signaled that a long...more

FCPA Compliance and Ethics Report-Episode 192-Mike Shepard on the Increased FCPA scrutiny around internal controls and best... [Video]

In this episode I visit with Mike Shepard, a partner at Hogan Lovells. He discusses the increased SEC scrutiny of internal controls in FCPA enforcement. He also gives his thoughts on the use of data analytics in a best...more

FTC Settles Allegations of HSR Act Violation by Activist Investment Fund

The Federal Trade Commission (FTC) announced a settlement on August 24, 2015, with Third Point Funds for failing to file a notification under the Hart-Scott-Rodino Antitrust Improvements Act (HSR Act) in connection with the...more

Asset Purchasers May Be Found Liable as “Successors”

Recent court decisions suggest that parties engaged in corporate asset sale transactions involving potential multiemployer pension plan liability should give extra consideration to the structure and terms of their...more

Recent FTC Action Underscores Narrow Interpretation of HSR “Investment-Only” Exemption

On August 24, 2015, the Federal Trade Commission (“FTC” or the “Commission”) filed a proposed settlement in federal court regarding alleged violations by Third Point LLC (“Third Point”) of the premerger reporting laws related...more

FCPA Compliance and Ethics Report-Episode 191-interview with Maurice Gilbert on hiring in compliance, Part I [Video]

In this episode, I being a 3 part series with Maurice Gilbert, Managing Partner at Conselium Partners, one of the nation's leading CCO and C-Suite exec search firms. Gilbert shares his insights into the hiring process for...more

Investment Fund Violates “Investment-Only” HSR Exemption

At the request of the Federal Trade Commission (“FTC” or “Commission”), the Department of Justice (“DOJ”) filed this week in federal court a proposed settlement to charges that an investment fund violated the...more

Financial Services Weekly News - August 2015 #4

Regulatory Developments - CFTC Issues Proposed Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps: On Aug. 19 the CFTC announced that it had voted to propose amendments to existing...more

Third Point Settles FTC Charges That They Violated U.S. Premerger Notification Requirements

On August 24, 2015, the FTC announced that Third Point Funds (“Third Point”), which includes three affiliated hedge funds commonly managed, agreed to settle FTC charges that it violated premerger reporting requirements in...more

FCPA Compliance and Ethics Report-Episode 190-Interview with Vivian Carpenter, author of The Fifth Letter [Video]

In this episode I visit with Vivian Carpenter, author of The Fifth Letter, a legal thriller. We visit about one of the key themes of her book, corporate personhood and its relevance to FCPA enforcement. ...more

M&A: How to Maximize Your Return When Selling Your Business

As a family or private business owner, you know how to sell your product or service. But do you know how to sell the company itself? Selling a business that has been built over the years is emotional and stressful, and for...more

FCPA Compliance and Ethics Report-Episode 189-Compliance Evangelist [Video]

In this episode I report on the exciting news of my new consolidated website which brings together my blog posts, podcasts and introduces new social media offerings. I also discuss my new role as a Compliance Evangelist. ...more

Successful Strategies for Doing Business in Asia: Korea (Updated)

WHAT ROLE WILL THE GOVERNMENT OF KOREA PLAY IN APPROVING AND REGULATING FOREIGN DIRECT INVESTMENT? The Korean government takes an active, investor-friendly role in approving and regulating foreign direct investment....more

FCPA Compliance and Ethics Report-Episode 188-the BNY Mellon FCPA Enforcement Action  [Video]

The FCPA Compliance and Ethics Report is out. Today I take a deep dive into the Bank of New York Mellon, FCPA enforcement action around the hiring of close family members violating the FCPA. I discuss the enforcement...more

Successful Strategies for Doing Business in Asia: Japan (Updated)

WHAT ROLE WILL THE GOVERNMENT OF JAPAN PLAY IN APPROVING AND REGULATING FOREIGN DIRECT INVESTMENT? Generally speaking, foreigners can conduct business in Japan on an equal legal footing with Japanese citizens. The...more

FCPA Compliance and Ethics Report-Episode 187-Francine McKenna from Market Watch at the Wall Street Journal [Video]

In this episode I visit with Francine McKenna, well known writer and speaker about Big 3 auditing and auditors. She has recently taken her considerable skills and talents to the Wall Street Journal where she now writes as the...more

Facing Bank Merger Challenges - Top Challenges and Managing Them [Video]

Spilman Member Hugh B. Wellons, with Stephen M. Lane of Strategic Risk Associates, discuss the challenges to completing a successful bank merger. Learn what they believe to be the top challenges and how to manage them. This...more

Renewable Energy Update - August 2015 #2

Renewable Energy Focus - U.S. wind energy priced at all time low: Clean Technica - Aug 13: The price of wind energy in the U.S. is at an all time low, but officials have been quick to state the need for stable policy to...more

Successful Strategies for Doing Business in Asia: Indonesia (Updated)

1. WHAT ROLE WILL THE GOVERNMENT OF INDONESIA PLAY IN APPROVING AND REGULATING FOREIGN DIRECT INVESTMENT? The existing Indonesian Investment Act is Law No. 25 of 2007, passed by the Indonesian House of Representatives...more

Successful Strategies for Doing Business in Asia: India (Updated)

1. WHAT ROLE WILL THE GOVERNMENT OF INDIA PLAY IN APPROVING AND REGULATING FOREIGN DIRECT INVESTMENT? Historically, India has been a regulated economy since its independence. The government of India (GOI) launched a new...more

FCPA Compliance and Ethics Report-Episode 186-David Kotz on his book Financial Regulation and Compliance [Video]

In this episode, I visit with David Kotz, Managing Director at BRG who has recently released his latest book Financial Regulation and Compliance. He discusses the book and how CCOs should think through SEC investigations and...more

FCPA Compliance and Ethics Report-Episode 185-Chris Sindik on Codes of Conduct for Third Party Suppliers [Video]

In this episode I visit with Chris Sindik from the Red Flag Group on his exhaustive study of Codes of Conduct for third party suppliers. Chris discusses his findings on best practices and recommendations going forward. ...more

Private Equity Quarterly Report - Q2, 2015: Benesch Aerospace and Automotive Market Intelligence

Aerospace Market Overview - A record-setting year for aircraft orders has created a huge production backlog, which is good news for commercial aircraft manufacturers and tier suppliers. Elsewhere, machine vision,...more

Is An Asset Purchaser Liable For Seller’s Withdrawal Liability?

Many asset buyers believe that, as long as they do not agree to ERISA Section 4204’s sale of assets exception to withdrawal liability, they will acquire the seller’s assets free and clear of any prior contribution history and...more

Successful Strategies For Doing Business In Asia: Hong Kong (Updated)

Hong Kong is always rated as one of the world’s freest economies, one of the reasons being that the government has always adopted the approach of nonintervention. Hong Kong strives to attract more foreign investors to...more

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