Securities General Business Health

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Compliance in the C-Suite

The ongoing debate whether certain executives are “too big to jail” misses the most important trend in corporate governance – namely, that criminal conduct is rising in the C-Suite. Viewed from a broad perspective, since...more

Questioning The Caremark Standard

The Justice Department’s aggressive enforcement program has had a profound impact on corporate governance. As a consequence, the last there has been a significant change in emphasis in the C-Suite, among general counsel and...more

Focus on Regulatory Law - June 2014

In This Issue: Regulatory Authorities - ..Securities and Market Authority ..Authority for the Regulation of Electronic Communications ..Data Protection Authority ..Commission Nationale Informatique et...more

Healthcare Enforcement Actions and Trends: 2013 Overview

The Department of Justice (DOJ) and the Office of Inspector General for the U.S. Department of Health and Human Services continued aggressive enforcement of the healthcare industry in 2013. Officials employed a variety of...more

SEC Administrative Action Resolves Foreign Bribery Allegations

On October 24, the SEC released a cease-and-desist order that resolves FCPA allegations against a Michigan-based medical technology company. The SEC alleged that the company’s subsidiaries in five different...more

Life Sciences Financing Survey - First Half, 2013

In This Issue: - Summary - Analysis of Industry Data - Detailed Fenwick & West Results: Valuation - Detailed Fenwick & West Results: Financing Terms ...more

Pfizer FCPA Settlement Emphasizes the Importance of Robust Compliance Programs for the Healthcare Industry

The healthcare industry has been under increased SEC and DOJ scrutiny lately for potential FCPA violations. What has been described as an “industry sweep,” has focused primarily on medical device and pharmaceutical companies....more

SEC Expands Continuing Disclosure Requirements: Includes Tax Exempt Bonds of Healthcare Issuers

On July 15, 2009, the Securities and Exchange Commission (“SEC”) voted to propose a set of rule revisions to expand the types of debt and events that are subject to continuing disclosure. The SEC’s goal is to address the...more

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