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Corporate & Securities

Compliance

Released on: Feb. 19, 2013

Taken from the briefing Affordable Care Act: Compliance Program Considerations for Health Care Providers recorded February, 2013. Compliance efforts are heating up under the Affordable Care Act (ACA).  Enforcement activities at both the state and federal level are on the rise making compliance programs and plans for the health care industry a must.  Under the ACA, mandatory plans will be required for certain providers by March 23, 2013.  ...

Released on: Sep. 25, 2012

Taken from the briefing Catching Up on Clawbacks recorded September, 2012. Since the introduction of compensation recovery (“clawback”) requirements in the Sarbanes-Oxley Act of 2002, corporate America has been moving inexorably towards mandatory clawback policies. Not only have institutional investors and their advisors promoted the adoption of these policies, the recent spotlight on managing compensation-related risk has underscored ...

Released on: Aug. 2, 2012

Taken from the briefing Compliance with Disability Accessibility Requirements When Buying or Selling Instructional Technology: A Legal, Policy and Technical Primer for Lawyers recorded July, 2012. Persons with disabilities are demanding and obtaining legal rights to access and use instructional technology products. This is particularly true in the educational arena. However, the road to product accessibility is paved with a confusing and sometimes ...

Released on: Aug. 8, 2012

Taken from the briefing Corporate Crime: Southern Union v. United States and Other Key Supreme Court Decisions of the 2011-2012 Term recorded June, 2012. On June 21, 2012, the Supreme Court decided Southern Union v. United States, holding that the Apprendi rule extends to facts that increase the maximum fines in criminal cases. Apprendi ruled that “any fact that increases the penalty for a crime beyond the prescribed statutory maximum,” ...

Released on: May. 30, 2013

Taken from the briefing Crisis Management - A View from Inside and Outside the U.S. recorded May, 2013.Crises are unpredictable but not unmanageable. In recent years, we've seen numerous corporate crises in the headlines, some of which have caused significant damage to companies, and highlighted the critical role of the general counsel as crisis manager. Although a corporate crisis can be a turning point for any company, it does not need to end badly. ...

Released on: Apr. 3, 2013

Taken from the briefing Defending Corporations and Executives in Congressional Investigations 2013 recorded March, 2013. Congressional investigations, in which corporate executives are called to account by Congress in televised hearings, have long been a fixture of American politics. And they often exact a steep price for individual corporate executives and the companies they represent. Yet few corporations are as prepared to handle congressional ...

Released on: Oct. 10, 2012

Taken from the briefing Dodd-Frank Act's Conflict Minerals Provisions: Analysis of Due Diligence and Reporting Requirements recorded September, 2012. Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act established reporting obligations for issuers that manufacture or contract to manufacture products that include conflict minerals from the Democratic Republic of the Congo and its neighboring countries.  These provisions ...

Released on: Mar. 12, 2013

Taken from the briefing Doing Business in Russia recorded February, 2013. As one of the world’s most important and growing economies, Russia continues to be a significant destination for global investment. Russia is a country rich in natural resources that has a highly-skilled and well-educated work force. Over the past decade, the Russian economy has demonstrated growth at rates exceeding most developed countries, doubling disposable ...

Released on: Dec. 12, 2012

Taken from the briefing Doing Business in the Middle East 2012 recorded November, 2012. The Middle East has been a cross roads between the East and West for thousands of years. Despite its turbulent politics, it continues to be a place of opportunity, which is predicted to outperform Europe and the US in the near term. This Briefing will provide a general introduction to doing business in the Middle East, review its legal system, and discuss ...

Released on: Dec. 26, 2012

Taken from the briefing FCPA Due Diligence in Cross-Border Transactions recorded December, 2012. With stricter enforcement of the FCPA and the increase in cross-border acquisitions and multinational strategic alliances, companies are increasingly finding that due diligence takes on a whole new level of importance. Business practices vary from market to market, but acquirors need to be prepared for the challenges that they may face in evaluating ...

Released on: May. 6, 2013

Taken from the briefing Financial Firms as ERISA Plan Sponsors - The When, What and How of the QPAM Audit Requirement recorded April, 2013.Starting in 2012 when a Department of Labor amendment of the Qualified Professional Asset Manager (“QPAM”) prohibited transaction class exemption became effective, a new requirement was imposed on financial firms when managing assets of ERISA plans they maintain for their own employees. These firms now must undergo ...

Released on: Jan. 4, 2013

Taken from the briefing FCPA Due Diligence in Cross-Border Transactions recorded December, 2012. On November 14, 2012, the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) released their much-anticipated Resource Guide to the Foreign Corrupt Practices Act, a self-described “unprecedented undertaking … to provide the public with detailed information about our FCPA enforcement approach and priorities.”  ...

Released on: Mar. 7, 2013

Taken from the briefing Health Care Reform: An Employer's Essential Guide recorded February, 2013. Guidance on health care reform is coming in fast and from all angles.  The departments of Health and Human Services, Treasury and Labor have recently been releasing proposed rules in droves, with much more to come on the horizon.  Employers must already contend with several of the new rules, and other looming requirements will become effective ...

Released on: Apr. 18, 2013

Taken from the briefing High-Stakes Corporate Compliance: Reducing Risk and Managing Potential Sanctions recorded April, 2013.The past few years have seen significant increases in compliance-related investigations, suspensions and debarments, and other actions by government agencies, regulators, and law enforcement. Many government enforcement actions focus on perceived weaknesses in corporate ethical culture, and require the appointment of independent ...

Released on: Jun. 6, 2012

Taken from the briefing Implications of Political Activity by Your Company, Its Executives and Employees recorded May, 2012. With election season underway, many companies are facing questions from their executives and employees regarding participation in political activities, from making corporate or personal contributions to attending political events.  Such activities, even if conducted on personal time, can adversely impact a company, including ...

Released on: Jun. 18, 2012

Taken from the briefing IPO Market on the Upswing: The JOBS Act and Other Recent Developments recorded June, 2012. The IPO market is on the upswing, with strong deal flow and favorable aftermarket performances.  After a lull in the late summer and early fall of 2011, IPO activity picked up considerably at year-end and has continued into 2012, boosted by continuing economic recovery and relatively stable capital markets.  Then, in ...

Released on: Feb. 14, 2013

Taken from the briefing Key Elements of Effective Remediation: An Insider's View 2013 recorded January, 2013. The SEC and DOJ place a “high premium” on effective remediation in deciding whether to prosecute or demand a monitor.  Remediation done poorly, or worse, not at all exposes the organization to enhanced penalties, difficult audit processes and recurring financial loss.  And it is not just the organization that suffers.  ...

Released on: Mar. 26, 2013

Taken from the briefing Navigating the Requirements for Derivatives Trading: Title VII of Dodd-Frank recorded March, 2013. Now that the rulemaking relating to Title VII of the Dodd-Frank Act has been nearly finalized, market participants are preparing themselves to function in a very different derivatives market.  Title VII imposes a comprehensive regulatory framework for derivatives, and requires both end-users and dealers to adopt new compliance ...

Released on: Feb. 15, 2013

Taken from the briefing Regulation FD and Social Media in the Wake of the Netflix Investigation: Facebook, Blogging and Beyond recorded February, 2013. The continued surge in the number of people using social media and the many different types of information outlets available for use have put significant pressure on companies' ability to comply with SEC Regulation Fair Disclosure's requirements and restrictions.  Recent news that Netflix, ...

Released on: Jun. 1, 2012

Taken from the briefing SEC Examinations of Private Equity Fund Managers: Valuation and Other Critical Issues recorded May, 2012. In recent years, the private equity industry has been able to avoid much of the regulatory scrutiny that has been directed toward hedge funds, banks and other financial institutions.  The regulatory landscape, however, has changed.  As a result of the Dodd-Frank Act, many private equity fund managers ...

Released on: Mar. 28, 2013

Taken from the briefing SEC Focus on Asset Valuation: What Fund Managers Should Know recorded March, 2013. For the past year, top officials of the Securities and Exchange Commission (“SEC”) have repeatedly identified the valuation of illiquid assets held by registered funds and private equity and hedge funds as one of the regulatory agency’s top five areas of enforcement and examination focus. In a December action, the SEC charged ...

Released on: Jan. 24, 2013

Taken from the briefing Setting Your Compliance Program Agenda for 2013 recorded January, 2013. The FCPA guidance issued last month by the Department of Justice and Securities and Exchange Commission indicates an enhanced focus on compliance programs by the federal government in its enforcement efforts.  While good news for the business community, this also means that companies should pay extra attention to setting their own compliance ...

Released on: Oct. 24, 2012

Taken from the briefing Stranger in a Strange Land: CFPB and DOJ Bring Non-Mortgage Products into the Fair and Responsible Lending Fold recorded October, 2012. Regulators have long patrolled residential mortgage lending data for compliance with fair lending laws - principally the Fair Housing Act and the Equal Credit Opportunity Act - and “responsible” banking practices, generally meaning practices that are not unfair, deceptive, or ...

Released on: Mar. 20, 2013

Taken from the briefing "Tightening the Chokehold" - An Overview of Enhanced OFAC Sanctions and Enforcement recorded March, 2013. The United States has ratcheted up its pressure on bad-actor states- Iran, in particular - through a series of enactments that strengthen sanctions administered by the Office of Foreign Assets Control (“OFAC”). In the words of one Congresswoman, this legislation “seeks to tighten the chokehold . . . ...