Due Diligence

News & Analysis as of

Help Wanted: Avoiding Inadvertent Participation in Labor Trafficking

Is your company a labor trafficker? Surely not. But if your company employs large numbers of foreign seasonal workers, you could be implicated in trafficking even if you don’t mean to be. Employment of foreign seasonal...more

The Panama Effect: UK Government accelerates proposals to criminalise failure to prevent tax evasion

10 considerations for professionals and corporates worldwide in advance of the new law. Overview - In a move widely seen as a response to the so-called “Panama Papers” revelations, the UK Government has enhanced...more

SEC Affirms Sanctions on Stanford’s CCO

The SEC recently affirmed its ALJ’s ruling barring Alan Stanford’s former CCO from the industry and ordering monetary penalties of $260,000 together with $591,992 in disgorgement. The Commission held the CCO approved false...more

Venture Capital Coast to Coast – April 2016

VC WATCH - The Venture Capital “Reset” – We Were Expecting You - Venture capital fundraising declined in 2015, with total money raised down more than 9 percent and a 13 percent decrease in the number of fund...more

European Banking Authority Opinion on Customer Due Diligence for Asylum Seekers

The European Banking Authority published an Opinion on the application of customer due diligence measures to customers who are asylum seekers from higher-risk third countries or territories. The Opinion, addressed to national...more

What You Need to Know About Mergers and Acquisitions Involving Government Contractors and Their Suppliers

Volume 4 – Key Issues in Government Contracts Due Diligence - This posting is the fourth in our ten-part series on unique issues that arise in connection with mergers and acquisitions involving government contractors and...more

Borrower Out of Business? Using the Internet to Identify Successor Liability

You open the paper to discover that a “new business”- NewCo has opened at the same location as a current borrower (OldCo). Upon further investigation, you drive by the former business location of OldCo and there is different...more

FHA Announces Final Revisions to Loan-Level Certification Form

On March 15, 2016, the Federal Housing Administration (FHA) announced final changes to its loan-level certification form, 92900-A HUD/VA Addendum to the Uniform Residential Loan Application. The announcement represents...more

Pennsylvania Title Insurance Notice

Effective May 1, 2016, title insurance premiums and endorsement costs, as recommended by the Title Insurance Rating Bureau of Pennsylvania, will increase by 12% across the board. This increase applies to both the sale and...more

Are Your Company’s Legal, Due-Diligence, De-risking, or Compliance Obligations Impacted by the “Panama Papers”?

In an unprecedented event earlier this week, 11.5 million files from the Panamanian law firm Mossack Fonseca were allegedly leaked. Assuming they are genuine, as appears to be the case, these “Panama Papers” offer a...more

Blog: The 4th Anti-Money Laundering & Terrorist Financing Directive

The 4th Anti-Money Laundering & Terrorist Financing Directive (4AMLD) came into force on 25 June 2015; and the Member States of the European Union are (currently) obliged to transpose it into their national laws by 26 June...more

SEC’s Division of Investment Management Issues Guidance on Revising Fund Disclosure in Light of Changing Market Conditions

On March 2, 2016, the Securities and Exchange Commission’s (“SEC”) Division of Investment Management issued new guidance (the “Guidance”) to registered investment companies and their investment advisers regarding the dynamic...more

Checking In on “The Year of Third-Party Due Diligence”

Hui Chen, the Department of Justice’s Compliance Counsel, recently stated that 2015 was the year of due diligence and third-party compliance. A recent survey conducted by Kroll and Ethisphere provided a status check on how...more

The Corporate Human Rights Benchmark Ranks Large Companies' Human Rights Performance

In 2011, the United Nations adopted the UN Guiding Principles on Business and Human Rights (“UN Guiding Principles”), which provide non-binding guidelines on how employers should conduct their business activities to provide...more

Construction due diligence: Sooner is always better than later

Non-payment of receivables is an ongoing problem for contractors, subcontractors and material suppliers notwithstanding the strength or weakness of the economy. Having knowledge of one’s alternative available legal remedies...more

Key Findings from NAVEX Global's Third Party Risk Management Benchmark Report

Vendor risk management and, in particular, third party risk management has become one of the toughest issues companies face—especially after a string of high-profile compliance failures in recent years. The majority of...more

Epsilon Case Highlights the Need for Sanctions Due Diligence on Resellers

As global companies begin to reenter the Iranian market, a decision issued by the U.S. District Court for the District of Columbia is an important reminder that resellers and distributors can generate liability for U.S....more

FinCEN Issues Advisory on FATF-Identified Jurisdictions with AML/CFT Deficiencies

On March 21, 2016, the Financial Crimes Enforcement Network (FinCEN) issued an Advisory (FIN-2016-A002) on the Financial Action Task Force (FATF)-identified jurisdictions with strategic deficiencies in anti-money laundering...more

Williams Mullen Construction Industry Newsletter - Spring 2016

2016 begins with the issuance of this Construction Industry Newsletter, our fifth. In this issue, we have articles on vapor intrusion, liability for project design, enforcement of mechanic’s lien and bond waiver clauses, and...more

FATF Updates List of Jurisdictions with AML Deficiencies, FinCEN Issues Related Advisory

On March 21, FinCEN issued advisory bulletin FIN-2016-A002 notifying financial institutions of updates to the Financial Action Task Force’s (FATF) list of jurisdictions containing AML/CFT deficiencies. The FATF updated two...more

2016 M&A Report

Our 2016 M&A Report offers a detailed review of, and outlook for, the global M&A market. Other highlights include a comparison of deal terms in public and private acquisitions; updates on takeover defenses and public company...more

Patent Due Diligence: All That Glitters May Not Be PTAB Gold

An obvious but sometimes overlooked item when conducting patent due diligence is to check for PTAB proceedings (CBM, IPR, or PGR). Although the Patent Application Information Retrieval System (PAIR) does show whether patents...more

The Lawyers' Lawyer Newsletter - Recent Developments in Risk Management - March 2016

Motion to Withdraw — Meaning of Requirement to "Diligently Attempt" to Locate the Client: Caveman Foods, LLC v. Ann Payne's Caveman Foods, LLC, Civ. No. 2:12-1112 WBS DAD - Risk Management Issue: When a lawyer or law...more

Managing Litigation Risks in Third Party Technology Service Arrangements

One of the biggest risk trends for banks to watch in coming years will be risks arising from the outsourcing of information technology. Banking supervisors as well as the Consumer Financial Protection Bureau (CFPB) and the...more

German banking market – on the move

The German banking market is on the move. This presents opportunities for foreign investors who would like to enter the German financial market. However, in order to acquire an interest in a German financial institution, i.e....more

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