On 28 February 2023, the Financial Conduct Authority (“FCA”) published its Regulatory Initiatives Grid updating the timeline of the Overseas Funds Regime (“OFR”), the new equivalence regime for retail investment funds and money market funds established outside the UK, which will allow recognised funds to be marketed to the public in the United Kingdom.
A sample code of business conduct that provides a general statement regarding the company's expectations as to the legal and ethical nature of conduct of employees while acting on the company's behalf and to provide for the administration of the code of conduct.
This sample agreement is drafted under English law as a starting point for use where a supplier company wants to appoint a distributor to sell the supplier company's products in a particular country or territory.
Learn about the latest clarifications and remaining questions to the Department of Justice's changes of its corporate enforcement policies, first outlined in October 2021.
This ACC guide provides a Q&A that gives a high level overview of board composition, the comply or explain approach, management rules and authority, directors' duties and liabilities, transactions with directors and conflicts, company meetings, internal controls, accounts and audit, institutional investors and reform proposals in India.
This InfoPAK (now known as ACC Guides) provides a Q&A that gives a high level overview of the main trends and significant deals in the United Kingdom, specifically England and Wales.
Read a short recap of key ESG developments in 2022 in Europe, the United States, Canada, Japan, Germany, Norway, and The Netherlands.
Sure, we all know that compliance departments provide oversight, coordination, and strategic direction to regulatory compliance activities throughout the company. But what if you've never had one before, and need to get something organized, right away? The author gives tips and insights into setting up a brand-new department.
On 19 March 2013, under file No XI ZR 431/11, the German Federal Supreme Court clarified the circumstances in which an investor may have a misselling claim against a “direct bank” (i.e. a bank holding an account for the deposit of securities on an execution-only basis only).
This is a supplemental presentation for this session.
When a company finds itself under government scrutiny, conducting an independent investigation by outside counsel can make all the difference between violation and vindication. However, defining independence isn't always as black and white as it seems.
Learn about the European Commission's July 10, 2023 confirmation of the EU-US Data Privacy Framework, and its possible upcoming implications.
This Top Ten highlights the top ten actions that can be taken on international trade issues to limit risks in supply arrangements and acquisition agreements.
This article summarises the German Parliament's legislative package on renewable energy, which is regarded as the largest energy policy amendment in decades.
Check out this 2014 Apex, Excel and Communicator Award-winning article! The standard “no comment” response to a media frenzy surrounding pending litigation is an approach that some legal counsel have opted out of in favor of more detailed disclosure. Such an approach addresses not
only the media, but also other company constituencies who are impacted by the negative attention. This article details how to create a platform for proactive responses.
This article provides an overview of the main Swiss criminal law provisions, which prohibit<br />the theft and disclosure of banking information to foreign authorities or courts, and to see how they have been applied to whistleblowers in recent cases by Swiss courts and authorities.
This is a sample Intellectual Property (IP) due diligence checklist in a corporate acquisition, for the analysis of the seller's IP assets and related matters.
Get an update on the judicial and administrative interpretation of the statute since its passage and the current status of competition in telecommunications industries.
US companies are constantly expanding, allowing them to stay competitive, but also opening the door to corporate compliance risks. Managing global risk with a strong compliance program is even more crucial following recent corporate scandal, and this article discusses the issues that can arise and offers suggestions on how to be effective.
When a company decides to expand internationally, ensuring compliance with local legislation can become a nightmare issue for the Ethics and Compliance Office. If the budget to build a new program is approved, the first thing to consider: What is at the heart of an effective compliance program? The US Federal Sentencing Guidelines (USFSG) offer a seven-element outline. Learn more about the USFSG guidelines so that your company’s global development is a dream, not a nightmare.
Attorneys offer litigation predictions so their clients are able to make informed decisions. When coupled with unrealistic expectations, however, a prediction might be mistaken as an assurance of outcome. Make sure your client understands the value and limits of litigation predictions, or else you might be as popular as the local weatherman.
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