Regulatory & Compliance
More Regulatory & Compliance Articles
Finance
A Look At Regulations For Non-U.S. Investment Advisers And Portfolio Managers Doing Business In The United States
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...
Read MoreAnti-Corruption
FCPA Compliance: Staying Ahead Of Enforcement
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...
Read MoreAnti-Corruption
Why Good Compliance Programs Are Essential Under The FCPA And UK Bribery Act
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...
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