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Due Diligence

Legal Advisor Newsletter - First Quarter 2018

by PilieroMazza PLLC on

The topics in the Legal Advisor focus primarily on corporate and business matters, federal contracting, employment law, intellectual property and electronic commerce. We encourage our readers to communicate their views to us...more

SEC Files Another Action Centered on Trading in Opaque Markets

by Dorsey & Whitney LLP on

The Commission filed another action centered misrepresentations made in opaque trading markets for mortgage backed securities. Unlike its earlier actions in this area, however, the case settled simultaneous with filing....more

Democratized Due Diligence Will Judge Your Third Parties, even if You Don’t

by NAVEX Global on

Ethics and compliance officers already know data analytics can be a powerful thing. Now we have a fresh example of how the ingredients of a data analytics program – data, interpretation tools, and questions people want to...more

More Than Meets the Eye: Director Due Diligence in Today’s Corporate Activist World

On Federal Reserve Chair Janet Yellen’s last day of work, the Fed imposed severe penalties on Wells Fargo, both punishing it for years of bad acts and barring it from future growth until it actually fixes its problems,...more

Gibraltar’s Financial Services Regulator Adopts First-Ever Purpose-Built Blockchain Regulations

Gibraltar has become the first jurisdiction worldwide to offer a fully regulated framework for firms working with distributed ledger technology (DLT)—also known as blockchain. The new regulatory framework means that FinTech...more

New FinCEN beneficial ownership requirements for legal entity customers to become effective in May 2018

by Thompson Coburn LLP on

Effective May 11, 2018, new Financial Crimes Enforcement Network (FinCEN) regulations (codified at 31 C.F.R. §§ 1010.230 and 1020.210(b)(5)) (the “New Regulations”) require that covered financial institutions, including...more

[Webinar] Issues and Recent Developments in Art Law, Part 1: Lending Issues - Wealth Management - February 21st, 11:00am CT

by Locke Lord LLP on

Please join Christie’s and the Locke Lord LLP Art Law Group for an informative discussion on current lending issues affecting art. Wednesday, February 21, 2018, 11:00 a.m. - 12:30 p.m. (Central. Program will promptly begin...more

8 Key M&A Trends in 2018 - From Sweeping Tax Changes, to Continued Big Ticket M&A

by Morrison & Foerster LLP on

From sweeping changes to the U.S. tax code, to big ticket M&A transactions making headline news – 2017 proved to be an eventful year for M&A dealmakers. As we settle into 2018, we wanted to take a moment to reflect on some of...more

Corporate Anticorruption Compliance Programs: Ten Questions Every Board Director Should Ask

by Jones Day on

The United States Department of Justice, the U.S. Securities and Exchange Commission, and non-U.S. governments and agencies have recently emphasized their continued commitments to pursuing both corporate and individual...more

Buyer Beware: I-9 Compliance in Mergers and Acquisitions

by Foley & Lardner LLP on

With a new tax law and a booming American economy, mergers and acquisitions will occur at a busy pace in 2018. In a prior post, we explained some of the employment authorization issues that may arise in such corporate...more

Tried and trusted: US M&A in 2017: US M&A survey: Drivers, dilemmas and destinations

by White & Case LLP on

Our exclusive survey identifies impacts from tax reforms and the repatriation of offshore capital as key areas to watch in 2018. Digital innovation remains a major driver for transactions, while effective due diligence poses...more

Day 31 of 31 Days to a More Effective Compliance Program-Levels of Due Diligence

by Thomas Fox on

I hope you have enjoyed this 31-day series on how to design, create and implement a best practices compliance program. These blog posts and podcasts over the past 13 months will form the basis of my next book The Complete...more

Delaware Supreme Court Confirms Preclusive Effect of Dismissal of Derivative Actions Based on Lack of Demand Futility

by Proskauer Rose LLP on

The Delaware Supreme Court held yesterday that the dismissal of a shareholder derivative action for lack of demand futility can preclude other derivative actions as long as the plaintiff in the dismissed case adequately...more

Understanding cyber insurance risks of target companies

Due to the dramatic increase and changing nature of cyber risks, mergers and acquisitions due diligence should expand to address cyber risks, available risk mitigation practices, and available insurance. Acquiring companies...more

Cybersecurity and Third-Party Risks

by Michael Volkov on

Global companies are getting compliance overload, especially when it comes to third party risks. As we have seen over the years, third-party risk management involves significant risks on anti-corruption, AML, fraud,...more

Five on Friday – Five Recent Developments that We’ve Been Watching Closely - January 2018

It’s Friday and time for another overview of developments in the field of business and human rights that we’ve been monitoring. This week’s post includes: a lawsuit by the City of New York seeking compensation for the...more

What Level of Due Diligence Should You Perform

by Thomas Fox on

Today, I want to take a deep dive and exploration of the levels of due diligence. Due diligence is generally recognized in three levels: Level I, Level II and Level III. Each level is appropriate for a different level of...more

U.S. Dental Supply Company Penalized for Violating Iran Sanctions

by Bass, Berry & Sims PLC on

•Many medical products can be exported to Iran – so long as a license is obtained •Imposition of successor liability underscores importance of pre-transaction due diligence •OFAC enforcement, as in the past, continues...more

Beware of the Man-in-the-Middle: Lessons from the FTC’s Lenovo Settlement

by Patrick Law Group, LLC on

The Federal Trade Commission’s recent approval of a final settlement with Lenovo (United States) Inc., one of the world’s largest computer manufacturers, offers a reminder that when it comes to consumers’ sensitive personal...more

“Building an Art Market 2.0”—Responsible Art Market Initiative Event February 2, 2018 in Geneva

by Sullivan & Worcester on

Readers of the Art Law Report will know that we have regularly touted the collaborative efforts of the Art Law Centre of the University of Geneva, the Fondation pour le Droit d’Art (Art Law Foundation), and now the...more

Businesses face unlimited fines for failure to prevent facilitation of tax evasion

by Womble Bond Dickinson on

Introduction - As part of a global crackdown on tax evasion, the Criminal Finances Act 2017 (the Act) introduced a new offence. From 30 September 2017, an organisation commits a criminal offence if an employee or...more

Vitamin D and Retail: But Not Without Due Diligence First

by Goulston & Storrs PC on

We’ve all read about the question marks floating around the fate of brick and mortar retail in America. Factors like the strength of e-commerce and shifting consumer preferences (such as the popularity of urban centers over...more

Operating Lessor Financings - A Structural Overview

by Vedder Price on

With competition among aircraft lessors remaining fierce, airlines continue to take an increasing proportion of aircraft on operating lease. An important recent trend in the aircraft financing market, the “wholesaling” of...more

"Absolute Liability" for a Failure to Prevent Foreign Bribery: Significant Change Ahead in Australia?

by Jones Day on

On 6 December 2017, Australia's Federal Government tabled the Crimes Legislation Amendment (Combatting Corporate Crime) Bill 2017 ("Bill"), which contains various amendments to Australia's foreign bribery regime, including...more

More Than Mere Loose Ends: Immigration Compliance During Mergers and Acquisitions

by Vedder Price on

Mergers and acquisitions are often complex transactions involving numerous parties and myriad moving parts. While the parties are understandably focused primarily on the economic aspects of the deal, immigration compliance is...more

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