News & Analysis as of

Due Diligence

Emerging Private Fund Manager Guide for Raising Institutional Investor Capital

by Foley & Lardner LLP on

Public and private pension plans, endowments, hedge funds and other institutional investors are investing trillions of dollars annually with alternative asset managers. Many of these fund managers are well-established with a...more

Legal Considerations in Pre-IPO Crossover Financings

by WilmerHale on

An increasingly common financing strategy for companies expecting to conduct an initial public offering (IPO), particularly in the life sciences space, is to conduct a ‘‘crossover’’ financing shortly prior to the IPO....more

Changes to Supply Chain Management and Commercial Item Contracting in FY 2018 NDAA

For Department of Defense (DoD) acquisitions, the Conference Report for Fiscal Year 2018 NDAA includes provisions that simplify and others that complicate contractor responsibilities. Proposed supply chain diligence...more

The 10 Hallmarks of an Effective Compliance Program: Still the Foundation

by Thomas Fox on

The joint Department of Justice (DOJ) and Securities and Exchange Commission (SEC) 2012 FCPA Guidance came out five years ago this month. As a commentator focusing on the doing of compliance, we should pause to once again...more

Anti-Money Laundering Update: FinCEN Makes Small Texas Bank Pay Big Fine

by Bass, Berry & Sims PLC on

This Post at a Glance: - FinCEN imposes $2 million penalty against community bank - Bank failed to conduct appropriate due diligence related to Mexican customer - Small banks, other financial institutions...more

Becoming a Unicorn Fintech by Shoring Up Intellectual Property

Investment in fintech companies is at an all-time high. “Unicorns” are start-ups that have valuations of more than 1 billion dollars. The majority of the unicorns are in the fintech industry. Fintech companies are often agile...more

United Nations Continues its Development of a Treaty Imposing Liability on Companies for Human Rights Abuses

by Littler on

An ongoing debate exists regarding the nature and extent to which transnational companies should be held directly and legally liable for human rights impacts. Much of this debate has involved calls for additional regulation...more

Financial Services Weekly News - November 2017 #2

by Goodwin on

Editor's Note - Change at the Fed. As expected, on November 2, President Trump nominated Jerome H. Powell to be Chairman of the Board of Governors of the Federal Reserve System (FRB) for a term of four years beginning...more

FinCEN Fines Texas Bank $2M for Alleged Failure to Vet and Monitor Mexican Correspondent Banking Relationship – But Touts Bank’s...

by Ballard Spahr LLP on

FinCEN recentlty announced entry of a $2 million assessment against Lone Star National Bank, a private bank operating out of Texas, for the bank’s allegedly willful violations of the Bank Secrecy Act (“BSA”) and inadequate...more

FTC Provides Guidance on Reasonable Data Security Practices (Part III of III)

by Patrick Law Group, LLC on

This is the third in a series of three articles on the FTC’s Stick with Security blog. Over the past 15 years, the Federal Trade Commission (FTC) has brought more than 60 cases against companies for unfair or deceptive...more

5 Key Takeaways: IP Considerations in M&A Transactions

Mergers and acquisitions (M&A) in the digital era increasingly involve a number of significant intellectual property (“IP”) issues. It is critical to a successful M&A transaction for in-house counsel to involve experienced IP...more

Red Notice Newsletter - October 2017

ANTICORRUPTION DEVELOPMENTS – Global Compliance Overhaul for SAP as DOJ and SEC Investigate Payments Allegedly Related to South African Government Contracts – On October 26, 2017, German software company SAP SE...more

Compliance and Technology – Rational Actors Need to Adopt Technology

by Michael Volkov on

I always enjoyed the assumption underlying economic models – assuming people are rational actors, then . . . Sometime people do not act rationally, and sometimes people react out of fear or make unrealistic assumptions....more

Intellectual Property Due Diligence In Anticipation Of A Sale Or Purchase Of An Organization

by Fraser Trebilcock on

Is your business anticipating an upcoming merger or acquisition? If so, you will be facing a number of upcoming due diligence responsibilities such as, but not limited to, financial stability, asset valuation, contractual...more

OCC issues risk management principles for new activities

by Ballard Spahr LLP on

On October 20, 2017, the Office of the Comptroller of the Currency (OCC) issued Bulletin 2017-43 (the “Bulletin”) outlining principles that OCC-supervised banks should follow to prudently manage the risks associated with...more

The Lawyers' Lawyer Newsletter - Halloween Issue October 2017

by Hinshaw & Culbertson LLP on

Client Intake — Due Diligence — Liability to Parties Other than Client — Holding Funds in Trust - P&P Property Ltd. V. Owen White & Catlin LLP, et al. 2016 WL 05484797 (English High Ct. of Justice, Chancery Div. 2016)...more

The Phasing Out of LIBOR: Initial Reaction and Preparation

by Foley & Lardner LLP on

1. Background: Elimination of LIBOR by 2021 - As has been widely publicized, on July 27, 2017, the U.K. Financial Conduct Authority announced that LIBOR (London Interbank Offered Rate) the longtime global interest rate...more

Cyber Risk a Modern Concern for M&A Dealmakers

by Latham & Watkins LLP on

Amid a growing number of high-profile corporate data breaches, cybersecurity is now a key issue for strategic acquirers. Thehack of Yahoo, which came to light midway through its 2016 takeover by Verizon, resulted in a US$350...more

Traditional UK Employment Law Means Gig Economy Transactions Could Be Hard Work For M&A Deal Teams

by Latham & Watkins LLP on

Companies operating in the “gig economy”, using a largely self-employed workforce, have enjoyed enormous growth in recent years and have made popular M&A targets. In the UK, these companies have come into conflict with...more

FTC’s “Stick With Security” #8: Make Sure Your Service Providers Use Reasonable Security Measures

by Snell & Wilmer on

On September 15, 2017, the FTC released its eighth “Stick with Security” principle, which offers advice that individuals and organizations should consider when hiring others to process sensitive data. A few tips for making...more

Strict Liability and Human Rights Due Diligence – too little too early?

by Hogan Lovells on

It was a pleasure to speak in Geneva earlier this month at a consultation hosted by the United Nations Office of the High Commissioner for Human Rights (“OHCHR“) on the scope for making businesses strictly liable for human...more

Pros and Cons of Hiring a Security Rating Agency

by Patrick Law Group, LLC on

One can hardly check out any news outlet today without reading or hearing about a security breach. Experts frequently advocate performing internal assessments to identify security weaknesses. Commentators tout the...more

You have an Environmental Insurance Policy. Do you know what the fine print says?

THINK YOU CAN MAKE A CLAIM ON YOUR ENVIRONMENTAL INSURANCE POLICY? You better read the fine print first. *Due Diligence – The mantra is often repeated - take initiative, be proactive. For a variety of reasons a...more

ISO 37001: Risk Assessments, Employees, and Due Diligence Requirements (Part IV of V)

by Michael Volkov on

In Part IV of my series on ISO 37001, I examine requirements relating to risk assessments, design of policies and procedures, and due diligence requirements. Section 4.5 sets out requirements for conducting risk...more

Acquirers Beware: Salary History Bans Impact Employment Diligence and Arrangements

New state and local laws might change employment salary due diligence and post-closing arrangements in M&A deals New state and local laws might change employment salary due diligence and post-closing arrangements in M&A...more

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