Regulatory & Compliance
More Regulatory & Compliance Articles
Anti-Corruption
The FCPA: 35 Years Of Evolution
Editor: Proposals to amend the FCPA have been advanced this year. What changes do you see coming in the short to medium range? Moyer: There are really two paths for change. One is legislative, as there have been calls for amendments to the FCPA. The other is guidance from the Justice Department...
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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...
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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...
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