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Entries in Due Diligence (90)

Wednesday
Apr132016

Bill Waite on Unaoil: Certification versus Investigation

I have not had sight of the TRACE reports into Unaoil but no doubt in time they will become public. I am confident that TRACE did what it was contracted to do and exercised skill and care in so doing. It is a professional organization.

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Tuesday
Apr122016

Alexandra Wrage on Unaoil: The importance -- and limitations -- of due diligence

The Unaoil story first published by The Age and Huffington Post on March 30, and supplemented yesterday with another chapter, has it all. There are code names, huge dollar amounts and intrigue. 

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Monday
Apr112016

The Unaoil story (remember that one?) has already raised the bar for reacting to red flags

The Huffington Post/Fairfax Media’s report of bribery at Unaoil is another cautionary tale on how entire industries can find themselves under investigation for use of the same intermediary.

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Tuesday
Mar292016

Martin Kenney: Hold on. Not everyone in the City of London (or in BVI) is bent

I can’t help thinking that Graham Vanbergen was trying to be deliberately provocative when he wrote this article on the City of London being a tax haven for the mega wealthy.

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Tuesday
Mar152016

Practice note: Compliance controls for charitable giving

While clear policies on charitable contributions are important, the controls implementing these policies are equally critical to an effective compliance program.

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Friday
Mar042016

Nordion and former employee settle FCPA charges for Russia bribes 

Image courtesy of NordionMedical isotope provider Nordion (Canada) Inc. and a former employee settled SEC charges Thursday of violating the Foreign Corrupt Practices Act by bribing Russian government officials. The former employee was also charged with taking kickbacks.

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Monday
Feb292016

Charitable giving: Recognize the warning signs and mitigate the risks

Many individuals, non-profits, and corporations actively support charitable causes around the world. The need to support worthwhile charitable projects in many developing markets is particularly acute due to local needs, the lack of government funding, and the lack of an adequately developed infrastructure.

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Wednesday
Feb172016

Yes, Kazakhstan is a compliance challenge. But it’s doable

I've talked about the challenges of doing business in Kazakhstan because of its high levels of corruption and rapidly changing legal environment. In this post, I'd like to provide some tips to American companies contemplating potential investments in Kazakhstan or other emerging markets.

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Wednesday
Jan202016

Sundar Narayanan: Is your next compliance problem at a toll booth in Delhi?

Delhi recently started enforcing new traffic regulations to reduce pollution levels. In October 2015, the city -- properly the National Capital Territory, where 10 million people live -- imposed a Green Tax on vehicles. 

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Thursday
Jan142016

Brooke Hopkins: But is your compliance program scalable? 

The DOJ and SEC haven't used the word "scalable" to describe an effective compliance program. But they've described scalability when talking about what's needed.

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