Securities Finance & Banking Mergers & Acquisitions

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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 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

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

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

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

FCPA Compliance and Ethics Report-Episode 184-Marc Bohn on the Mead Johnson FCPA Enforcement Action [Video]

In this episode I visit with Marc Bohn, Counsel with Miller & Chevalier. We discuss the Mead Johnson FCPA enforcement action; its implications for companies and lessons learned for the compliance practitioner. ...more

FCPA Compliance and Ethics Report-Episode 183-the Compliance Retreat and Podcast Movement 2015 [Video]

In this episode I discuss my new service offering, the Compliance Retreat and some thought from Podcast Movement 2015 and you can be a part of the compliance podcast movement going forward. ...more

LongPath Capital, LLC v. Ramtron Int'l Corp., C.A. No. 8094-VCP (Del. Ch. June 30, 2015) (Parsons, V.C.)

In this appraisal action, the Court of Chancery determined that the negotiated merger price less synergies yielded the fair value of Ramtron International Corporation (“Ramtron”) for purposes of Section 262 of the Delaware...more

FCPA Compliance and Ethics Report-Episode 182-Kate Atkinson on the Miller Chevalier Summer 2015 FCPA Report [Video]

In this episode I visit with Kate Atkinson, a partner at Miller Chevalier. She discusses the firm's recent FCPA Summer Report, noting some trends she sees and where enforcement may be heading. We also visit about the DOJ...more

Private IPOs and Unicorns May Trigger More H-S-R Act Filings

The talk of the financial press and venture community during the first half of 2015 has been of private IPOs and unicorns. And for good reason. According to CB Insights, there are more than 588 investor-backed tech companies...more

FCPA Compliance and Ethics Report-Episode 181-Gar Hurst on Using Social Media Tools In Your Compliance Program [Video]

In this episode I visit with Gar Hurst, a partner at Givens and Johnston, an import/export compliance firm. He and his firm have developed a SW app, which capitalizes on social media concepts to assist his clients in import...more

Private Equity Newsletter - Summer 2015 Edition: SEC Charges Corporate Insiders for Failing to Update Beneficial Ownership...

Enforcement actions raise potential disclosure concerns for private equity sponsors exploring investments in public companies - Earlier this year, the U.S. Securities and Exchange Commission (“SEC”) announced charges...more

FCPA Compliance and Ethics Report-Episode 180-Introducing the FCPA Master Class Training [Video]

In this episode I discuss my new service offering, the FCPA Master Class training. This training will be the premier nuts and bolts training on how to create, implement or enhance a best practices compliance program. ...more

FCPA Compliance and Ethics Report-Episode 179-Tim Peterson on the FIFA Bribery Scandal and the SEC Investigation [Video]

In this episode I visit with Tim Peterson, a partner at McGonigle and Murphy on the burgeoning FIFA bribery scandal, the recent announcement that the SEC is investigating US companies involved with FIFA and the reasons folks...more

Private Equity Newsletter - Summer 2015 Edition: Where’s the Exit? New Opportunities in China for Private Equity Firms

It has long been a well established exit route in developed markets for a private equity firm to sell its interest in a portfolio company to a listed company in exchange for shares in that listed company. Until recently, this...more

FCPA Compliance and Ethics Report-Episode 178-Ben Locwin on Risk Assessments [Video]

In this episode I visit with Ben Locwin, about his thought leadership around risk assessments. Ben has written extensively on the quantitative nature of risk assessments and various type of risk assessments. ...more

FCPA Compliance and Ethics Report-Episode 177-Communication of Tone Around Compliance in your company [Video]

In this episode I discuss how to create and communicate a culture of compliance or tone throughout an organization. ...more

District Court Rules Privately-Held Stock Plan Fiduciary May Have Affirmative Duty To Disclose

A federal district court in Georgia held that plan fiduciaries of a closely-held company’s single stock ERISA fund may have a duty to disclose material, non-public information concerning the value of the company’s shares when...more

FCPA Compliance and Ethics Report-Episode 176-Tim Treanor on the PetroTiger Declination [Video]

In this episode, I visit with Tim Treanor, a partner at SidleyAustin. He was lead counsel for PetroTiger in its FCPA investigation. Tim talks about his investigation protocol and the arguments which led the DOJ to grant a...more

FCPA Compliance and Ethics Report-Episode 174-Matt Kelly on Dodd-Frank, Uber and Upcoming Compliance Week events [Video]

In this episode I visit with Compliance Week Editor Matt Kelly on how Dodd-Frank is working and affecting financial services, Uber and the recent ruling from the California Labor Board finding one Uber driver an employee and...more

FCPA Compliance and Ethics Report-Episode 173-Adam Turteltaub on upcoming SCCE events [Video]

In this episode, I visit with Adam Turteltaub from the SCCE. He discusses some upcoming SCCE academies and other events, including the 2015 Compliance and Ethics Institute, which will be held from Oct. 4-7 in Las Vegas. Adam...more

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