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SEC Charges Underwriter and Bankers in Connection with Offering by China-based Issuer A Cautionary Tale of How Bad Facts and Weak...

On March 27, 2015, the U.S. Securities and Exchange Commission (SEC) announced charges against an investment bank and two of its bankers for failing to adequately review and escalate a due diligence report which contradicted...more

FCPA Compliance and Ethics Report-Episode 145-SEC Enforcement of the FCPA, Part II [Video]

In this episode which is Part II of my look at SEC enforcement of the FCPA, I consider whether profit disgorgement is available to the SEC in a strict liability enforcement action of violation of internal controls. ...more

Underwriter, Two Employees Charged By SEC

The SEC brought another case tied to Chinese reverse mergers. This one differs from many earlier actions which focused on the company and or the executives. This action names as defendants one broker-dealer and two of its...more

FCPA Compliance and Ethics Report-Episode 144-SEC Enforcement of the FCPA, Part I [Video]

In this episode I begin a two-part exploration of the differences between the Securities and Exchange Commission enforcement of the FCPA from the Department of Justice enforcement. ...more

FCPA Compliance and Ethics Report-Episode 142-Reflections on the Goodyear FCPA Enforcement Action [Video]

In this episode I take a deep dive into the Goodyear FCPA enforcement action. I review the underlying allegations and the lessons learned for the compliance practitioner. ...more

Foreign Corrupt Practices Act Discussions at the 2015 ABA White Collar Institute Focus on M&A, Self-Reporting and Individual...

The prosecution of corporations always makes good headlines. But the emerging trends in these corporate prosecutions tend to be at the margins and therefore less reported—prosecutors commit to sustained and vigorous...more

FCPA Compliance and Ethics Report-Episode 141-Pi Day and Compliance Programs [Video]

In this episode, recorded on Pi Day, March 14, 2015, I consider the math symbol Pi and how it relates to the symmetry of a FCPA compliance program. ...more

SEC FCPA Enforcement Action against Goodyear and Investigation of Mondelez International Provide Valuable Lessons for U.S....

Action Item: The Securities and Exchange Commission’s enforcement action against Goodyear Tire & Rubber Company and its investigation of Mondelez International provide key lessons to U.S. companies seeking to acquire foreign...more

FCPA Compliance and Ethics Report-Episode 140-Leona Lewis [Video]

In this episode I visit with Leona Lewis who recently left the compliance function at Best Buy to found her own compliance entity, ComplyEthic. Leona brings some very interesting insights from her days in consumer retailing...more

FCPA Compliance and Ethics Report-Episode 139-Amy Lilly, President of GHBER [Video]

In this episode I interview Amy Lilly, President of the Greater Houston Business and Ethics Roundtable (GHBER), the premier ethics and compliance organization in Houston. ...more

Goodyear FCPA Settlement Highlights Importance of Thorough Pre-Acquisition Due Diligence

On February 24 the SEC charged Ohio-based Goodyear Tire and Rubber Company with violating the books and records provisions of the Foreign Corrupt Practices Act (FCPA). Goodyear agreed to  pay $16.2 million to settle the...more

Reminders from the Goodyear FCPA Settlement

FCPA settlements carry with them a basket of compliance and enforcement lessons. The recent Goodyear settlement with the SEC for $16 million carries some important compliance and strategic reminders for ethics and compliance...more

FCPA Compliance and Ethics Report-Episode 138, Tribute to Mr. Spock and Strict Liability for Internal Controls Under the FCPA [Video]

In this episode, I pay tribute to Leonard Nimoy and his immortal character Mr. Spock. I also discuss that the SEC may be moving towards a strict liability standard for internal controls under the FCPA....more

FCPA Compliance and Ethics Report-Episode 137, interview with Loren Steffy [Video]

In this episode I visit with Loren Steffy, former business columnist from the Houston Chronicle. ...more

FCPA Compliance and Ethics Report-Episode 136, Joel Borgquist, President of Etik [Video]

In this episode, I visit with Joel Borgquist, President of Etik a company that works to insure transparency in corporate social responsibility programs and assists in conflict resolution. ...more

FCPA Compliance and Ethics Report-Episode 135, Kevin Brady on the process of sales for the compliance practitioner [Video]

In this episode I visit with noted sales process expert Kevin Brady who discussed sales as a process and how the compliance practitioner can use these concepts in communicating the message of compliance to an employee base. ...more

ESMA Publishes Technical Advice on New EU Market Abuse Regime

On February 3, the European Securities and Markets Authority (ESMA) published its final report to the European Commission (EC) with technical advice on possible new secondary legislation under the European Union’s Market...more

FCPA Compliance and Ethics Report-Episode 133, The Oscars and Compliance, Part V with Jay Rosen [Video]

In this concluding episode of my five part series with Jay Rosen, we provide our Oscar picks and give some of the compliance highlights that we have gained insight to during our exploration of the Oscars, the movie industry...more

FCPA Compliance and Ethics Report-Episode 132-Adam Turteltaub and SCCE Europen Compliance and Ethics Institute [Video]

In this episode I visit with Adam Turtelbaum of the SCCE about the upcoming European Compliance and Ethics Institute. ...more

FCPA Compliance and Ethics Report-Episode 131, The FCPA Professor Takes a Look Back at 2014 [Video]

In this episode I visit with the FCPA Professor over some of his observations from the 2014 FCPA year just pass. We discuss the Esquenazi decision, Opinion Releases and several enforcement actions. ...more

Top 10 Australian Public M&A Predictions For 2015

1. RETURN OF THE MEGA DEAL - The mega deal is back. The shift in strategic direction by companies worldwide from one of organic growth with core business focus to higher risk strategies of diversification will likely...more

FCPA Compliance and Ethics Report-Episode 130, The Oscars and Compliance, Part IV with Jay Rosen [Video]

In this Part IV of my continued exploration of the Oscars and compliance with Jay Rosen, we look at the touchpoint which Hollywood and the movie industry has which might subject it to FCPA liability. ...more

"M&A Activity Jumps to Levels Unseen Since Before Global Financial Crisis"

Global M&A activity jumped in 2014, with over 40,000 tracked transactions totaling approximately $3.5 trillion in value. This represents the biggest year for M&A since 2007, the last year before the impact of the global...more

UAE Merger Control Update: Implementing Regulations Now In Force

Implementing Regulations clarify some points, but fall short on others . Introduction - On 27 October 2014 the Implementing Regulations (the Regulations) for the UAE Federal Law No. 4 of 2012 (the Competition...more

Inside M&A - Winter 2015

Recent U.S. Cases Highlight Liability Risks to Executives in Mining, Heavy Industrial Transactions - Historically, corporate executives rarely faced personal or criminal liability resulting from mining or environmental...more

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