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This Week in FCPA-Episode 40- the Worse than Useless edition [Video]

Just out the week's top compliance and ethics stories on This Week in FCPA. ...more

Your Daily Dose of Financial News

Acting SEC Chair Michael Piwowar has reportedly scaled back some of the agency’s enforcement staff’s use of delegated authority by funneling all subpoena issuance and probe initiation through the SEC’s director of...more

Day 13 of One Month to a Better Board-Board Failures in Compliance [Video]

The failure of a Board of Directors to engage in its duties and obligations around the compliance function can be devastating. Today I consider cases where Boards failed in those duties. ...more

Day 12 of One Month to a Better Board-What Leads to a Successful Board Investigation [Video]

What are metrics for a Board around compliance? Former Assistant Attorney General Leslie Caldwell laid out some that the Justice Department would consider in a review of compliance programs. These metrics are: ¥ Does the...more

European Authority Rules Out Regulating Distributed Ledger Technology for Now

The European Securities and Markets Authority published a Report on the application of Distributed Ledger Technology to the securities markets. Distributed ledgers, sometimes referred to as blockchains, are essentially...more

Everything Compliance-Episode 7 [Video]

This episode is dedicated to the chaotic (at best) first three weeks of the Trump administration. Jonathan Armstrong leads a discussion of the Trump administrations devolution towards Privacy Shield and what it may portend...more

Compliance into the Weeds-Episode 28 [Video]

In this episode, Matt Kelly and I take a deep dive into the new Microsoft security analysis tool, Secure Score which will rate a company’s IT and data security protocols. We use his blog post on the topic, “Microsoft...more

Corporate Investigations and White Collar Defense - February 2017

When Regulatory Failings Turn Criminal: Car Edition Redux - Why it matters: To paraphrase the famous quote from the film “All About Eve”: Fasten your seatbelts, it’s going to be a bumpy car ride. In the first part of...more

IP Due Diligence: The Five Questions You Must Ask in Corporate Transactions

Konstantin Linnik, Ph.D., a partner in Nutter’s Intellectual Property Department, addressed the importance of intellectual property due diligence in corporate transactions in Nutter Insights. Konstantin discussed when a...more

Day 11 of One Month to a Better Board-What Leads to a Successful Board Investigation [Video]

What are seven factors which can lead to a successful investigation commissioned and led by a Board of Directors. In this episode, I discuss an article in the Corporate Board magazine, entitled “Successful Board...more

Day 10 of One Month to a Better Board-What is Your Board's Investigation Protocol [Video]

Many companies have an investigation protocol in place when a potential Foreign Corruption Practices Act (FCPA) or other legal issue arises? However, many Boards of Directors do not have the same rigor when it comes to an...more

In Case You Missed It: Launch Links - February, 2017

Some interesting links we found across the web this week: Why Was the Winter for Venture Capital Funding so Short? While we all thought winter was coming, it looks like VCs are already enjoying spring thanks to the...more

Day 9 of One Month to a Better Board-Board Governance and Risk [Video]

One of the ongoing questions from members of Board of Directors is how to resolve the tension between oversight and managing. I recently had the opportunity to visit with Joe Howell, the Executive Vice President (EVP) of...more

Compliance into the Weeds-Episode 27-Greek Gods, Data Hacks and MLB [Video]

In this episode, Matt Kelly and I consider the data hacking of the Houston Astros by an executive of the St. Louis Cardinals. We mine the story for not only compliance lessons but also data protection reminders and throw in...more

This Week in FCPA-Episode 39-the Super Bowl LI edition [Video]

In this episode, Jay Rosen and I review the recent Super Bowl LI from the compliance perspective; mining the Patriots 'for the ages' comeback and the Atlanta collapse for lessons for the compliance practitioner....more

Five on Friday – Five Recent Developments that We’ve Been Watching Closely - February 2017

It’s Friday and time for another overview of developments in the field of business and human rights that we’ve been monitoring. This week’s post includes: a federal court decision holding that U.S.-based companies may be...more

Day 8 of One Month to a Better Board-Board of Directors Compliance Oversight - An Internal Control Under SOX [Video]

James Doty, Acting Commissioner of the Public Company Accounting Oversight Board (PCAOB) was once asked if the Board or its sub-committee which handles audits was a part of a company’s internal financial controls. He answered...more

Day 7 of One Month to a Better Board-the Board's Role with Internal Controls [Video]

What is the Board's role with the internal controls a company need to institute? Each company defines its internal controls to fit its business by determining what the Company wishes to protect and what type of control...more

The Blockchain revolution: An analysis of regulation and technology related to Distributed Ledger Technologies

Blockchain is on the verge of revolutionizing how we interact in the digital world. It has far reaching applications from the Financial industry to many other sectors of the economy. The question is what is Blockchain, what...more

Deal Watch – Coherus Announces Public Common Stock Offering

Coherus BioSciences, Inc. announced yesterday that it had commenced an underwritten public offering of common stock valued at $125 million. These shares are being offered directly by Coherus in conjunction with an expected...more

Your Daily Dose of Financial News

While Wall Street’s been waiting with bated breath for the big Snap IPO, Jose Cuervo (yes, that Jose Cuervo, via parent company Becle) has briefly stolen a bit of its public offering thunder with its plans to sell shares on...more

Report on U.S. Semiconductor Industry Raises Implications for PRC Investments in U.S. Companies

In January 2017, the President's Council of Advisors on Science and Technology (PCAST) issued a report to then President Barack Obama titled "Ensuring Long-Term U.S. Leadership in Semiconductors."1 The report assesses the...more

Day 6 of One Month to a Better Board-Inquiring Up and Down [Video]

Where does “Tone at the Top” start. With any public and most private US companies, it is at the Board of Directors. But what is the role of a company’s Board in FCPA compliance? We start with several general statements about...more

FCPA Compliance Report-Episode 305-Rakhi Kumar on corporate sustainability [Video]

In this episode, I visit with Rakhi Kumar from State Street Global Advisors on building sustainability into your long term corporate growth strategy. With corporate governance in the limelight, it's more important than ever...more

Day 5 of One Month to a Better Board-the OIG Guidance for Board's Regarding Compliance [Video]

In this episode I consider the OIG Guidance for the Compliance Committee of a Board. ...more

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