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This Week in FCPA-Episode 31, the Government Speaks edition [Video]

Show Notes for Episode 31, week ending December 2, 2016-the Government Speaks edition 1. Justice Department Assistant Attorney General Sally Yates remarks at 33rd annual ACI National FCPA Conference; 2. Head of SEC...more

DLA Piper Global M&A Intelligence Report Video

DLA Piper's 2016 M&A Intelligence Report is based on data from about 500 deals from Europe, North America and Australia, giving a truly global perspective on how M&A deals get done. It looks at the differences between...more

New SEC Guidance on Five Business Day Debt Tender and Exchange Offers

On November 18, 2016, the Securities and Exchange Commission ("SEC") published several new compliance and disclosure interpretations ("C&DIs") that provide guidance on the abbreviated tender and exchange offers no-action...more

Compliance into the Weeds-Episode 20-transaction monitoring [Video]

What is risk and how should it be evaluated? What is the data that should be reviewed to determine if an increase in sales is based on unethical or even illegal behavior? Finally, what happens when you migrate company...more

This Week in FCPA-Episode 30, the Thanksgiving Edition [Video]

Show Notes for Episode 30, week ending November 18, 2016-the Thanksgiving edition: 1. Teva Pharmaceuticals reserves $520MM for FCPA settlement, . 2. JP Morgan FCPA enforcement action surrounding its ‘Sons and Daughters’...more

Your Daily Dose of Financial News

In a closely watched battle over the DOL’s new fiduciary rule for retirement account investment advisers, the Labor Department has scored an early first victory. A DC federal judge ruled late last week that the rule at issue...more

Your Daily Dose of Financial News

Italy’s struggling lender Monte Dei Paschi is cutting jobs and closing branches in an effort to revive the world’s oldest bank (and maybe save Siena in the process)....more

Recent Amendments to the Foreign Investment Regulations in China

China has been quite successful in encouraging foreign investments since the Sino-Foreign Equity Joint Venture Enterprise Law was promulgated in the beginning of the country’s economic reform in 1979. With the passage of...more

China Simplifies Its Legal Administration of Foreign Direct Investments

In order to implement the State Counsel’s decision issued on September 3, 2016 (State Counsel’s Decision), which simplifies the original substantive review and approval process (Approval System) to a new simple filing system...more

"Activist Investing in Europe: A Special Report (September 2016)"

This report offers an overview of the state of activism in Europe, as well as country-specific profiles for the United Kingdom, France, Germany, Italy and Switzerland, including information and commentary on noteworthy...more

FCPA Compliance Report-Episode 282-SCCE CEI Wrap-up, Part II [Video]

In this episode I continue my conversation with compliance experts Matt Kelly, Mike Volkov and Jonathan Armstrong from the SCCE 2016 Compliance and Ethics Institute. We visit about the following topics: (1) Parallel tracks of...more

Your daily dose of financial news - The Brief – 9.30.16

NY hedge fund Och-Ziff has agreed to pay a $413 million fine as part of a deferred-prosecution agreement with US regulators over allegations that it was involved in the payment of more than $100 million in bribes to African...more

China’s search for Israeli assets is to be welcomed but it won’t change the preference for early exits

The exit outlook for Israeli M&A is especially positive, particularly in light of the ever-growing interest from the Far East. While the vast majority of inbound capital still comes from the US, China has emerged as a...more

FCPA Compliance Report-Episode 281-SCCE CEI Wrap-up, Part I [Video]

In this episode, I sit down with 4 top compliance commentators to discuss the SCCE 2016 Compliance and Ethics Institute conference. The panelists include Jay Rosen, Jonathan Armstrong, Mike Volkov, Matt Kelly and myself. We...more

Your daily dose of financial news - The Brief – 9.27.16

We learned yesterday that Twitter’s shopping itself around for a buyer. It’s facing one big complication, though—the sizeable amount of stock Twitter has doled out to its employees over the years. Last year, for example,...more

This Week in FCPA-Epiode 22, the Jimmy Garappolo edition [Video]

In this episode Jay Rosen and I discuss: 1. Harris Corp, China-business unit head settles FCPA matter, for the SEC Cease and Desist Order; 2. Wells Fargo fraudulent accounts scandal; 3. Telia reports $1.4bn demand to...more

FCPA Compliance and Ethics Report-Episode 275-the Key Energy FCPA Enforcement Action [Video]

The podcast reviews the Key Energy FCPA enforcement action. I discuss how the company obtained its excellent result and the lessons learned for the compliance practitioner. You can use the underlying facts and compliance...more

Orrick's Financial Industry Week in Review

Financial Industry Developments - FHFA Further Adjusts Multifamily Lending Caps for Fannie Mae and Freddie Mac - On August 18, 2016, the Federal Housing Finance Agency ("FHFA") announced an additional increase...more

Hallmark 10 – Mergers and Acquisitions: Pre-Acquisition Due Diligence and Post-Acquisition Integration

The FCPA Guidance notes that one of the ten hallmarks of an effective compliance program is around mergers and acquisitions (M&A), in both the pre and post-acquisition context. A company that does not perform adequate FCPA...more

This Week in FCPA-Epiode 20, the Oxford Edition [Video]

Show Notes for Week ending September 2, 2016: 1.The Astra Zenca FCPA settlement with the SEC, on FCPA Blog. 2. Brazilian President Dilma Rousseff is impeached, as reported in the New York Times. 3. The new Mexican...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 10 [Video]

In this final podcast in my 10 part series on the Ten Hallmarks of an Effective Compliance program, I review Hallmark 10-mergers and acquisitions under a best practices compliance program. ...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 9 [Video]

In this 10-episode podcast series I take a look at all ten hallmarks of an effective compliance program as set out in the FCPA Guidance. In this episode I review Hallmark Continuous 9 -Improvement: Periodic Testing and...more

Hallmark 9 – Continuous Improvement: Periodic Testing and Review

You should keep track of external and internal events which may cause change to business process, policies and procedures. Some examples are new laws applicable to your business organization and internal events which drive...more

Your daily dose of financial news - The Brief – 8.30.16

And after all the sturm und drang surrounding the Hershey Trust and the Mondelez buyout offer over these past few months . . .  it’s over.  Mondelez announced yesterday that it’s no longer seeking to acquire the Hershey...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 6 [Video]

In this 10-episode podcast series I take a look at all ten hallmarks of an effective compliance program as set out in the FCPA Guidance. In this episode I review Hallmark 6-Incentives and Disciplinary Measures....more

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