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Australian Employee Share Schemes - More options to share...

From tomorrow, the way in which new employee share scheme awards will be taxed in Australia has changed and for the better. Following on from recent changes to assist companies to meet their corporate compliance obligations,...more

EMIR Pensions Exemption

EMIR: Pension funds have been granted a further two-year exemption from central clearing requirements, but what difference does it make in practice? - The European Market Infrastructure Regulation (EMIR) came into...more

Whistleblowing: An Employer’s Guide To Global Compliance

In This Issue: - Foreword - A Summary Across Five Continents - Law and Sanctions - The Legislative Framework: Whistleblower Protections Across the Globe - Global Differences: The Cultural...more

In Case You Missed It - Interesting Items for Corporate Counsel - June 2015

The SEC’s Division of Economic and Risk Analysis issued analysis on the “potential effect on pay ratio disclosure of exclusion of different percentages of employees at a range of thresholds.” Without even trying to follow the...more

Overview of the Bipartisan EB-5 Reauthorization Bill: The American Job Creation and Investment Promotion Reform Act

Senate Judiciary Committee Chairman Chuck Grassley and ranking member Senator Patrick Leahy introduced sweeping, bipartisan legislation on June 3, 2015, to reauthorize and reform the EB-5 Regional Center program, which is...more

SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules

On June 4, the staff of the Securities and Exchange Commission (Staff) released analysis related to its proposed rules for pay ratio disclosure, which analysis evaluates the potential effects of excluding different...more

SEC Provides Additional Analysis Related to Proposed Pay Ratio Disclosure Rules

On June 4, the Securities and Exchange Commission provided additional analysis related to its proposed rules for pay ratio disclosure. The staff believes that the analysis will be informative for evaluating the potential...more

Whistleblowers – Tracking Ups and Downs

One of many things about life – just when you think you know something, it turns out you do not. Or another trite way to say the same thing – Life is full of surprises. The evolution in the treatment and legal...more

Saudi Arabia Update May 2015

New Saudization Rules Proposed - Saudization is the colloquial term used to refer to Saudi Arabia’s official government policy of encouraging the employment of Saudi Arabian nationals in the private sector. The policy...more

Financial Services Weekly News Roundup - May 2015 #5

SEC Enforcement Action on FCPA Compliance – Check the Box Is Not Enough. On May 20 the SEC announced that global resources company BHP Billiton had agreed to pay $25 million to settle charges that it had violated the...more

Economic Downturn Week, Part II – The Golden Gate Bridge and Employment Separation – Hotlines and Whistleblowers During Layoffs

I use the Golden Gate Bridge as an entrée to my continued discussion on the series on steps that you can use in your compliance program if you find yourself, your company or your industry in an economic downturn. Whether you...more

Cross-Border Investigations Update - May 2015

In This Issue: - Recent Prosecutions and Settlements: FCPA Enforcement Trends and Developments: Recent U.S. Foreign Corrupt Practices Act enforcement trends include the growing importance of corporate...more

The Financial Report - Volume 4, No. 9 • May 2015 (Global)

Discussion and Analysis - Securities and investment advisory services offered through . . . That phrase is ubiquitous among small and “independent” financial services firms, regularly appearing in 6-point or...more

Senn Interview, Part II – A Discussion of the Decision to Self-Disclosure

In today’s post, I continue to explore my recent interview of Mara Senn, a partner at Arnold & Porter LLP in Washington DC. Senn is a white-collar practitioner who whose practice includes representing companies in...more

Bridging the Week - May 2015

CME Group Summarily Suspends Trading Privileges of Two Traders Without Hearing for Alleged Spoofing and Non-Cooperation - Less than two weeks after civil and criminal charges were filed by the Commodity Futures Trading...more

Saudi Arabia Update April 2015

New labor courts will start operating in October 2016. Responsibility over the Labor Courts will soon be transferred from the Ministry of Justice to the Ministry of Labor in Muharram 1438H., corresponding to October...more

Navex Global's 2015 Ethics and Compliance Hotline Benchmark Report

Experienced ethics officers will tell you that one of the most effective ethics and compliance program measurement tools they have is the data from their internal reporting systems. But how do you put that information into...more

King Arthur Week – The Round Table and Compliance Professionals and Lawyers as Whistleblowers – Part III

Today we use King Arthur’s Round Table as the entry into our topic. The Round Table is the famous table around which he and his Knights congregated. Its shape implies that everyone who sits there has equal status. Wace, who...more

Governance & Securities Law Focus: Asia Edition - April 2015

In this issue: - SEC Developments - Noteworthy US Securities Law Litigation - Recent SEC/DOJ Enforcement Matters - Executive Compensation & Employee Benefits Developments - Adoption of...more

Governance & Securities Law Focus: Latin America Edition - April 2015

In this issue: - SEC Developments - Noteworthy US Securities Law Litigation - Recent SEC/DOJ Enforcement Matters - Executive Compensation & Employee Benefits Developments - Adoption of...more

Credit Crunch Digest - March 2015

This issue of the Credit Crunch Digest focuses on recent developments in criminal Libor manipulation actions; a significant victory for several large banks facing RMBS-related claims; the U.K. Serious Fraud Office’s probe of...more

Governance & Securities Law Focus: Europe Edition, April 2015

In this issue: - Adoption of Action Plan on Company Law and Corporate Governance - European Commission Green Paper: Building a Capital Markets Union - European Commission Publishes Consultation Paper on...more

How to Conduct Internal Investigations Outside the United States

Think of a U.S.-headquartered multinational when it receives an allegation of serious misconduct at one of its overseas operations. Maybe the company whistleblower hotline just got a tip that a secretary in the Buenos Aires...more

Financial Services Weekly News Roundup - April 2015 #2

The SEC Acts to Protect Whistleblowers Against Restrictive Confidentiality Provisions. In a development that should send HR directors and general counsels to review their form confidentiality agreements, the SEC announced...more

Corporate & Financial Weekly Digest - Volume X, Issue 13

In This Issue: - CFTC Extends Portfolio Margining on ICE Clear Europe - CFTC Extends CCO Report Filing Deadline - CFTC Issues Relief to Swap Dealers Regarding Legacy SPV Swaps - CME Updates Order...more

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