EU DEVELOPMENTS -
Corporate and Capital Markets -
Institutional Investment: ESMA Report on Undue Short-Term Pressure on Corporations (Corporate Aspects) -
On 18 December 2019, the European Securities and Markets...more
1/22/2020
/ Corporate Governance ,
Environmental Social & Governance (ESG) ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Reporting ,
Foreign Corrupt Practices Act (FCPA) ,
Prospectus ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
UK ,
Venture Capital
U.S. DEVELOPMENTS -
SEC and NYSE/Nasdaq Developments -
SEC Proposes to Expand “Testing the Waters” Exemption to Permit Pre-Offering Communications -
On 19 February 2019, the Securities and Exchange Commission...more
6/24/2019
/ Climate Change ,
Commission Delegated Regulation ,
Corporate Governance ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Dodd-Frank ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Foreign Corrupt Practices Act (FCPA) ,
Green Bonds ,
Greenhouse Gas Emissions ,
IOSCO ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
UK ,
UK Brexit
In this newsletter, we provide a snapshot of the principal Asian, U.S., European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
...more
2/14/2019
/ Accounting Controls ,
Annual Reports ,
Audits ,
Capital Markets Union ,
Climate Change ,
Cooperation ,
Corporate Governance ,
Enforcement Actions ,
EU ,
European Commission ,
Foreign Corrupt Practices Act (FCPA) ,
GAAP ,
Hong Kong ,
Private Placements ,
Proxy Season ,
UK ,
UK Brexit
The January 2019 FCPA Digest is an invaluable compendium of all FCPA-related developments in 2018, including US foreign bribery proceedings and criminal prosecutions, DOJ foreign bribery civil actions, SEC actions, DOJ...more
1/3/2019
/ Bribery ,
Chief Compliance Officers ,
Compliance ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Jurisdiction ,
Kokesh v SEC ,
Serious Fraud Office (SFO) ,
Settlement ,
Subsidiaries ,
UK ,
White Collar Crimes ,
Yates Memorandum
In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
...more
2/9/2018
/ AML/CFT ,
Asia ,
Board of Directors ,
Class Action ,
Compliance ,
Corporate Governance ,
Cryptocurrency ,
European Securities and Markets Authority (ESMA) ,
Foreign Corrupt Practices Act (FCPA) ,
Initial Coin Offering (ICOs) ,
MiFID II ,
Non-GAAP Financial Measures ,
Popular ,
Securities Fraud
In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates.
...more
4/24/2017
/ Cadbury ,
EU ,
European Securities and Markets Authority (ESMA) ,
Foreign Corrupt Practices Act (FCPA) ,
IFRS ,
Insider Trading ,
Non-GAAP Financial Measures ,
Prospectus ,
Securities Settlement Cycles ,
Shareholder Rights ,
Unique Transaction Identifiers ,
XBRL Filing Requirements
In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
...more
2/8/2017
/ Asia ,
C&DIs ,
Corporate Governance ,
Diversity ,
Foreign Corrupt Practices Act (FCPA) ,
Foreign Private Issuers ,
Non-GAAP Financial Measures ,
Resource Extraction ,
SZ-HK Connect ,
Tender Offers ,
Third Country Entities (TCEs) ,
UK ,
US v Salman ,
Volkswagen
Shearman & Sterling’s bi-annual Trends & Patterns in FCPA Enforcement report provides insightful analysis of recent enforcement trends and patterns in the US, the UK and elsewhere, as well as helpful guidance on emerging best...more
1/4/2017
/ AstraZeneca ,
Bribery ,
Compliance ,
Corporate Counsel ,
Declination ,
Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Foreign Official ,
GlaxoSmithKline ,
Internal Controls ,
JPMorgan Chase ,
Novartis ,
Nu Skin ,
Odebrecht ,
Popular ,
Qualcomm ,
Securities and Exchange Commission (SEC) ,
Teva Pharmaceuticals ,
Voluntary Disclosure ,
Whistleblowers ,
Yates Memorandum
Recent enforcement actions by the Department of Justice and Securities and Exchange Commission have raised the profile of corruption in international sport and highlight unique FCPA compliance concerns. This note will explain...more
6/15/2015
/ BHP Billiton ,
Bribery ,
Compliance ,
Corporate Counsel ,
Corruption ,
Department of Justice (DOJ) ,
Football ,
Foreign Corrupt Practices Act (FCPA) ,
Indictments ,
Match Fixing ,
Olympics ,
Popular ,
Securities and Exchange Commission (SEC) ,
Soccer ,
Sports ,
World Cup
Improper Gifts Alone, Without Cash Bribes, Serve as Basis for SEC’s Latest FCPA Enforcement Action -
Earlier this week, the SEC announced fines for two former defense contractor employees for FCPA violations relating...more
Last week the SEC settled charges against Layne Christensen for various violations of the FCPA. While a relatively unremarkable case at first glance, the SEC’s charges against Layne Christensen reflect a troubling approach by...more
In this issue:
- EU Developments
- German Developments
- UK Developments
- Us Developments
- Excerpt from EU Developments -
European Commission Proposes to Introduce Shareholder "Say...more
4/11/2014
/ Anti-Corruption ,
Audits ,
Capital Markets ,
Chadbourne & Parke LLP v Troice ,
Conflict Mineral Rules ,
Corporate Governance ,
Corporate Sales Transactions ,
Cybersecurity ,
DaimlerAG ,
Department of Justice (DOJ) ,
Diversity ,
Employee Benefits ,
Financing ,
Foreign Corrupt Practices Act (FCPA) ,
Halliburton ,
Information Technology ,
Institutional Shareholder Services (ISS) ,
Iran Sanctions ,
Limited Liability Company (LLC) ,
Office of Foreign Assets Control (OFAC) ,
Prospectus ,
Proxies ,
Public Disclosure ,
Say-on-Pay ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Shareholders ,
Ukraine ,
WKSIs
In this issue:
- Enforcement Actions and Strategies
- Perennial Statutory Issues
- Unusual Developments
- Compliance Guidance
- Private Litigation
- Enforcement in the United...more