Due Diligence, SEC | JD Supra Law News

Structured Thoughts -- Volume 4, Issue 8 -- May 15, 2013

by Bradley Berman, Lloyd S. Harmetz, Charles M. Horn | Morrison Foerster - Structured Products on 5/16/2013

In This Issue: Due Diligence Procedures for Structured Note Distributors; Key Issues for Yankee CDs; The SEC and FINRA: Protect Your Elders; The FSOC’s 2013 Annual Report: Increasing Exchange-Traded Product Activity;...more

Anti-Corruption High-Risk Audits

by Michael Volkov on 4/29/2013

The Justice Department and the SEC should be credited with promoting new compliance strategies and best practices. Whatever you may think about the DOJ/SEC FCPA enforcement program, they have pushed businesses to enhance...more

REGULATORY: Natural Resources: European Commission Issues Consultation for Views on Potential EU Conflict Minerals Initiative;...

by King & Spalding on 4/15/2013

The European Commission (EC) Directorate-General for Trade has issued a consultation to solicit interested parties’ views on a potential EU initiative for responsible sourcing of minerals coming from conflict-affected and...more

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Due Diligence › Securities & Exchange Commission

Structured Thoughts -- Volume 4, Issue 8 -- May 15, 2013

Anti-Corruption High-Risk Audits

REGULATORY: Natural Resources: European Commission Issues Consultation for Views on Potential EU Conflict Minerals Initiative;...

Complying with the SEC’s Conflict Minerals Rules

DOL Releases Informal Guidance Addressing Fiduciary Responsibilities With Respect to Target Date Funds

Anti-Corruption Compliance Check-Ups

Distributors Should Be Analyzed As Any Other Third Party Representative in the Sales Chain

Inside M&A - Winter 2013

Doing Business In Italy - Step Up Your FCPA Compliance Now

Corporate Law Report: Workplace Romances, FMLA Changes, California Tax News, and More [Video]

Distributors under the FCPA

SEC Freezes Assets and Brings Civil Charges against EB-5 Investor Visa Project

The HP Acquisition of Autonomy – Lessons Learned for Doing Compliance ‘By the Book’

"Anti-Corruption Due Diligence in Corporate Transactions: Implementing a Risk-Based Approach"

Siemens Whistleblower Complaint Underscores Need for "Top-Down" Anti-Corruption Compliance

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

Skadden's 2013 Insights: Financial Regulation

The Lilly FCPA Enforcement Action (Part III) Lessons Learned from Russia

From China to Poland and Brazi l- The Lilly FCPA Enforcement Action- Part II

The Lilly FCPA Enforcement Action Part I – Key Lessons Learned on Sportsmanlike Conduct

FOREIGN CORRUPTION RISK MITIGATION: THE IMPORTANCE OF RECENT US FCPA GUIDANCE TO CANADIAN COMPANIES

The New SEC Conflict Minerals Rule: Overcoming the Challenges of Compliance

The New SEC Conflict Minerals Rule: Overcoming the Challenges of Compliance [Video]

Human Rights Due Diligence – An Emerging Requirement in State and Federal Legislation

The Conflict Minerals Report’s Content and Supply Chain Due Diligence

Corporate Law Report: Workplace Romances, FMLA Changes, California Tax News, and More [Video]

The New SEC Conflict Minerals Rule: Overcoming the Challenges of Compliance [Video]

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