Regulatory & Compliance

Finance

Kathy H. Rocklen | Proskauer

This article discusses the U.S. registration and regulatory issues arising from the provision of discretionary portfolio management or other investment advisory services by non-U.S. advisers[1] to clients in the United States.[2] I. Jurisdiction ​and Exemptions from Federal and State...

Anti-Corruption

Howard Sklar | Recommind, an OpenText Company

Editor: Companies seem to be spending more and more on compliance programs. What’s driving this increased spend? Sklar: Over the last several years, there has been a trend towards increased enforcement – especially with international companies – which creates anxiety and...

Anti-Corruption

William A. Roberts | Wiley Rein LLP

Editor: Why has the passage of Dodd-Frank made it incumbent on U.S. companies to be extremely diligent in employing compliance programs to alert employees to the risks of violating the FCPA? Shane: The Dodd-Frank whistleblower provisions apply to violations of securities laws by public...