Corporate & Securities Law Community

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1	Dodd-Frank Law Sets New Rules for Compensation Consultants, Counsel and Other Advisers	10730
2	How Far Can the Plaintiffs Really Go With the Cases Against U.S.-Listed Chinese Companies?	9465
3	D & J Tire Inc. v. Hercules Tire & Rubber Co, 2010 U.S. App. LEXIS 4156 (5th Cir. February 26, 2010)	6355

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1	The Dodd-Frank Act, Commentary and Insights by Skadden, Arps, Slate, Meagher & Flom LLP & Associates--Chapter1: Orderly Liquidation Authority	24
2	The Dodd-Frank Act, Commentary and Insights by Skadden, Arps, Slate, Meagher & Flom LLP & Associates--Chapter1: Orderly Liquidation Authority	9

After the Contract is Signed: How Frequently Should You Perform (FCPA) Due Diligence

Yesterday we participated in a workshop at the 2011 SCCE Utilities & Energy Compliance and Ethics Conference with Scott Lane, President of the Red Flag Group . In his presentation, he discussed a White Paper that he and his colleague James Walton...

Published Mon, Feb 28 2011 10:08 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, due diligence, FCPA compliance

“Instrumentality Thereof” under the FCPA: An Absurd Result?

The prognosticators have now spoken (yet again) and decreed that the Houston Astros will be this year's worst team in baseball. We are well into the first week of Spring Training and the Houston Chronicle has reported that Baseball Prospectus has...

Published Fri, Feb 25 2011 9:55 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, FCPA Enforcement

Who is a Foreign Governmental Official Under the FCPA: The Defense Attacks

As was initially reported by the FCPA Professor , lawyers for four of the individual defendants who are former executives of the Orange County, California-based valve company, Control Components Inc. have filed a Motion to Dismiss the DOJ's case....

Published Thu, Feb 24 2011 12:09 PM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA compliance, government official

Handling an Overseas FCPA Investigation

We recently came across an article entitled, " Coordinating Investigations Between US Companies and their Subsidiaries or Suppliers Overseas ", by two Jones Day attorneys, John Edwards and Gillian Garrett . While not strictly focused on investigations...

Published Wed, Feb 23 2011 11:51 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA compliance, overseas investigations

Haist on Foreign Joint Ventures and the FCPA – Part II

In our most recent post , we wrote about an article by Dennis Haist , General Counsel of the Steele Foundation , which recently appeared in the ACC Docket . The article was entitled, " Guilt by Association: Transnational Joint Ventures and the FCPA...

Published Tue, Feb 22 2011 12:17 PM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA compliance, foreign business partners, foreign joint ventures

Foreign Joint Ventures: Dennis Haist and Some Characteristics of FCPA Risk

In an article in the January/February issue of the ACC Docket , entitled " Guilt by Association: Transnational Joint Ventures and the FCPA " [membership required]; Dennis Haist , General Counsel of The Steele Foundation (Steele) discussed some...

Published Fri, Feb 18 2011 10:58 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA compliance, foreign business partners, foreign joint ventures

Supply Chain Compliance Audit: The Apple 2011 Supplier Responsibility Report

We believe that a key component of managing foreign business partners, including vendors in the Supply Chain under the Foreign Corrupt Practices Act (FCPA), is the right to audit. While others have indicated that they feel such a right is not a key component...

Published Thu, Feb 17 2011 9:49 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA compliance, supply chain vendors, auditing, Apple, foreign business partners, Supplier Responsibility Report

FCPA Risk Assessments: New Input into Current Best Practices

We believe that Risk Assessment is a tool and is one with which a company should begin to craft its Foreign Corrupt Practices (FCPA) or UK Bribery Act compliance program. The simple reason is straightforward; one cannot define, plan for, or design an...

Published Wed, Feb 16 2011 2:30 PM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, UK Bribery Act, risk assessment, FCPA compliance

Disclosure and Negotiating with the Government – A FCPA Conundrum?-Part II

In yesterday's blog we explored the question of whether a company should self-report a potential FCPA violation to the pertinent US governmental authorities. Today, conclude our two-part series by exploring three issues: (1) What should you disclose;...

Published Wed, Feb 9 2011 10:38 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, self-reporting

Disclosure and Negotiating with the Government – A FCPA Conundrum?-Part I

All compliance programs are designed to prevent, detect and deter ethical violations. In the United States, they are also designed to bring companies into compliance with the Foreign Corrupt Practices Act (FCPA). However, as important as these programs...

Published Tue, Feb 8 2011 2:56 PM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, compliance programs, FCPA compliance, US Sentencing Guidelines, self-reporting

Agent Liability under the FCPA: Freight Forwarders and Express Delivery Services

I. The Problem The Foreign Corrupt Practices Act (FCPA) world is littered with cases involving freight forwarders, brokers and agents in the shipping and express delivery arena. Both the Department of Justice (DOJ) and Securities and Exchange Commission...

Published Fri, Feb 4 2011 9:32 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, agents

Welcome to the FCPA: Chinese Companies and Reverse Mergers

In a Wall Street Journal article on January 27, 2011 entitled " What's Behind China's Reverse IPOs ?", reporter Joseph Sternberg wrote that several Chinese companies were under investigation by the Securities and Exchange Commission...

Published Wed, Feb 2 2011 9:55 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, China, FCPA compliance, reverse IPO

What are the Odds in Your FCPA Compliance Investigation?

The experts have spoken and the Astros are a 75-1 long shot to win the World Series. But that is just what the experts predict and as we are 3 weeks away from pitchers and catchers reporting for Spring Training I prefer to take the pink cloud approach...

Published Tue, Jan 25 2011 8:07 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA compliance

Evaluation of FCPA Compliance Training

One of the key goals of any Foreign Corrupt Practices Act (FCPA) compliance program is to train company employees in awareness and understanding of the FCPA; your specific company compliance program; and to create and foster a culture of compliance. The...

Published Mon, Jan 24 2011 10:08 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, compliance programs, compliance training, Federal Sentencing Guidelines

More Than Just the FCPA and Bribery Act – The Local Battle Against Corruption

Many Foreign Corrupt Practices Act (FPCA) and UK Bribery Act practitioners are well aware of the oratory of the US and UK governments on the evils of bribery and corruption. However, such a fight is not just being made by the US Department of Justice...

Published Thu, Jan 6 2011 11:05 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, Bribery Act, India