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Day 9 of One Month to More Effective Compliance for Business Ventures - Post-Acquisition Integration Plan

by Thomas Fox on

Your company has just made its largest acquisition ever and your Chief Executive Officer (CEO) says that he wants you to have a compliance post-acquisition integration plan on his desk in one week. Where do you begin? Of...more

Day 8 of One Month to More Effective Compliance for Business Ventures-Post-Acquisition Integration Dates

by Thomas Fox on

Previously many compliance practitioners had based decisions in the M&A context on DOJ Opinion Release 08-02 (08-02), which related to Halliburton’s proposed acquisition of the UK entity, Expro. In 2011, the Johnson & Johnson...more

Compliance into the Weeds-Episode 57-SOX Reform or Not?

by Thomas Fox on

In this episode Matt Kelly and I discuss the Treasury Department’s recently released A Financial System That Creates Economic Opportunities-Capital Markets report. The report has multiple proposals, including multiple ideas...more

Draft Fintech Law bill introduced in Mexico

by White & Case LLP on

On September 18, 2017, the Ministry of Finance and Public Credit (SHCP) submitted to the Mexican Federal Commission for Regulatory Efficiency (Comisión Federal de Mejora Regulatoria, COFEMER) the draft bill of the Law...more

Compliance Man Goes Global-Episode 3

by Thomas Fox on

I welcome you to Episode 3 of Compliance Man Goes Global podcast of FCPA Compliance Report International Edition. As always, I am joined by Timur Khasanov-Batirov, a practitioner who focuses on embedding compliance programs...more

FCPA Compliance Report-Episode 352, James Koukios on summer 2017 anti-corruption developments

by Thomas Fox on

In this episode, I have back James Koukios, a partner in the law firm of Morrison and Foerster. We review some of the top FCPA and international anti-corruption cases and issues which have occurred over the summer of 2017....more

Financial Services Quarterly Report - Third Quarter 2017: Global Update: Regulators Focus on Initial Coin Offerings

by Dechert LLP on

Since January 2017, more than $2 billion has been raised through the rapidly growing market for so-called “token sales” or “initial coin offerings” (ICOs). The U.S. Securities and Exchange Commission (SEC) announced on July...more

Bridging the Week - October 2017

Two Commodity Pool Operators Charged by CFTC with Failure to Supervise: The Commodity Futures Trading Commission brought and settled enforcement actions against two commodity pool operators for failure to supervise. In one...more

Everything Compliance-Episode 19

by Thomas Fox on

Show Notes for Everything Compliance-Episode 19, the Ubiquity Edition The top compliance roundtable podcast is back with a wealth of new topics. 1. Matt Kelly opens with a discussion of the Equifax data breach and its...more

MAS Clarifies Regulatory Position on Digital Token Offerings in Singapore

by Morgan Lewis on

The Monetary Authority of Singapore indicates that various forms of crowdfunding involving the use of digital tokens likely will be regulated if the digital tokens constitute products regulated under the Securities and...more

Day 2 of One Month to Better Compliance in Business Ventures-Key FCPA Enforcement Actions in M&A

by Thomas Fox on

Today, I want to consider some of the key FCPA enforcement actions involving mergers and acquisition. These cases and the 2012 Guidance have made clear that Justice Department and SEC will vigorously prosecute companies which...more

Compliance into the Weeds-Episode 56-the Fraud Triangle, Rationalizations and Compliance Programs

by Thomas Fox on

In this episode, Matt Kelly and I take a deep dive into an article by Todd Haugh, in the most recent issue of the MIT Sloan Management Review entitled, “The Trouble With Corporate Compliance Programs” that even best practices...more

Day 1 of One Month to More Effective Compliance for Business Ventures-Introduction

by Thomas Fox on

Today, I begin a one month series on how to have a more effective compliance program involving business ventures. This will include the role of compliance in mergers and acquisitions, the role of compliance in joint venture...more

FCPA Compliance Report-Episode 351, David McLaughlin of QuantaVerse on using AI for risk reduction

by Thomas Fox on

In this episode, I have a fascinating interview with David McLaughlin, founder and CEO of QuantaVerse, which has artificial intelligence and data analytics tools to help companies manage risk more effectively. We discuss the...more

Day 3 of One Month to More Effective Compliance in Business Ventures-Why Engage in Pre-Acquisition Due Diligence?

by Thomas Fox on

Why should a company engage in pre-acquisition due diligence in the mergers and acquisition context? Certainly compliance with anti-corruption laws such as the FCPA or UK Bribery Act is a good starting point. However there...more

Announcement Clarifies Regulatory Position on Initial Coin Offerings in Hong Kong

by Jones Day on

The Situation: The Hong Kong Securities and Futures Commission has issued a statement explaining that, depending on the facts and circumstances of an initial coin offering ("ICO"), the ICO and any digital tokens that are...more

This Week in FCPA-Episode 57, the Pay for Shoes Edition

by Thomas Fox on

Jay Rosen and I wrap up the week's top FCPA, compliance and ethics stories....more

Day 19 of One Month of Innovation in Compliance-Innovation in Compliance Leadership

by Thomas Fox on

While many compliance departments may have begun more as a command and control function, set up by lawyers to comply with anti-bribery laws such as the FCPA, UK Bribery Act or others; this type of leadership model is now...more

Compliance Report-International Edition-Compliance Man Goes Global, Episode 2

by Thomas Fox on

n this Episode 2 of Compliance Man Goes Global podcast of the Compliance Report International Edition, we focus on real priorities of the corporate compliance programming at high-risk markets.  In each podcast, we take two...more

Day 18 of One Month of Innovation in Compliance-Innovation Through the Use of Videos

by Thomas Fox on

Now consider the use of video to assist ongoing communications in a best practices compliance program. It has certainly been proven that social video can boost your company’s brand awareness and its sales. Why not consider...more

China moves to limit activities relating to ICOs and Cryptocurrencies: game over or level up?

by Hogan Lovells on

On 4 September 2017, the People's Bank of China ("PBOC") and six other government agencies issued the Statement on Preventing the Risks of Fund Raising through Initial Coin Offerings (the "ICO Statement"), declaring that...more

Canada Confirms Tokens May Be Securities and Pacific Coin Is the Test

by Morrison & Foerster LLP on

The list of jurisdictions that are silent on the question of whether blockchain tokens may be securities has grown smaller. Less than a month after the U.S. Securities and Exchange Commission (SEC) and the Monetary...more

Across the Board-Episode 3, Jonathan Marks on a fraud examiner reporting to the Board

by Thomas Fox on

Today, I visit with noted fraud examiner, Jonathan Marks, a partner at Marcum LLP on the relationship of the internal auditor fraud good governance and board governance. Marks began by noting that an organization which has in...more

Day 17 of One Month of Innovation in Compliance-Using Employees to Innovate

by Thomas Fox on

How do you tap into your largest resource of innovation for your compliance program, which is of course your employee base? ...more

Day 15 of One Month of Innovation in Compliance-Structural Innovation

by Thomas Fox on

Innovation can come in various forms for an organization. Innovation can appear in a structural form. You can move compliance more deeply into your organization with new or different structures. One I have seen have success...more

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