Ethical Fit: What Impact Do M&As Have on Both Parties?
Jay Rosen considers the impact mergers and acquisitions have on both the acquired entity and the acquirer, starting with the ...
Tag: due diligence
The Whys, Whats and Hows of an Independent Assessment of a Target
Jay Rosen discusses how to assess ethics and compliance in the context of a merger or acquisition, what to look ...
“Blind Spots” and Customer Due Diligence
Assumptions are dangerous. Sam Sheen, financial crime expert at Efficient Frontiers International (EFI) shares the story of a criminal who ...
ICO to Issue More Than $350M in Fines for GDPR Data Breaches
In light of news of substantial fines from the U.K.’s ICO, Willkie Farr & Gallagher attorneys discuss the importance of ...
5 Common Weaknesses in OFAC Sanctions Compliance Programs
If your business activities take place in the U.S., you need to be doing OFAC screening. Michael Volkov offers five ...
Refinitiv Unwraps Beneficial Ownership and Vessel Data to Support Improved Risk Management
Integration of data from Dun & Bradstreet and IHS Markit Maritime and Trade within World-Check One creates formidable resource in ...
Assessing the Risks Associated with Cannabis-Based Businesses in the U.S. and Canada
The federal government still prohibits banks from doing business with cannabis-based businesses, leading banks to miss out on a green ...
Risks at the Intersection of IoT and Smart Business
Interconnected with the rise of AI is the growth of the IoT, which is already transforming businesses. Mayer Brown’s Linda ...
Entering Greece: Mitigating FCPA Risk and Maximizing Opportunities in a Global Economy
Entering new markets requires copious amounts of due diligence. While there are risks of corruption and bribery, Greece offers many ...
How Shell Companies Might be Circumventing FinCEN’s Beneficial Ownership Rule
FinCEN issued the final rule on customer due diligence on the heels of the Panama Papers scandal, and we’re now ...
How Can Regulators Leverage Monitors?
Jay Rosen discusses the various ways regulators at all levels – federal, state and local – use monitors, as well ...
ESG Screening Underscores Challenges in Third-Party Risk Management
Nearly half of compliance and procurement professionals find it difficult to identify environmental, social and governance within customer due diligence ...
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- KRM Services, LLC and Roberto J. Clark, Jr. November 8, 2019SEC Charges Man for Defrauding Investors in Surfboard Scheme
- Michael A. Gramins, et al. November 7, 2019SEC Dismisses Claims Against Tyler Peters
- Bolton Securities Corporation d/b/a Bolton Global Asset Management November 6, 2019SEC Charges Investment Adviser for Failing to Disclose Conflicts
