Compliance Bits and Pieces for October 22

Here are some recent compliance related stories:

Trusted Transactions, or Trusted Relationships? by Charles H. Green in Trust Matters

Much of the public dialogue today confuses these two distinctions. Is it Congress that people don’t trust? Or is it members of Congress who themselves are considered untrustworthy? To the average voter, it’s a distinction without a difference. I suspect the inability to tease them apart is itself a source of anger. But if we fail to separate them, we doom ourselves not only to nasty public discourse, but to failed solutions.

Report Says More Work Needed on Climate Risk Disclosure by by Melissa Klein Aguilar in Compliance Week’s The Filing Cabinet

Despite the attention it’s getting from some investor groups and new guidance aimed at compelling more reporting, corporate climate risk disclosure still has a long way to go, according to an analysis of 100 large-cap U.S. companies’ climate risk disclosures. Very few companies address all of the issues outlined in the Securities and Exchange Commission’s climate risk guidance in their most recent Form 10-K disclosures, an ISS Corporate Services report shows.

Nov. 10 Webcast: FCPA Investigations–The Pitfalls and the Pendulum from Securities Docket

On Wednesday, November 10, Securities Docket will host a webcast in which top current and former SEC officials will discuss FCPA investigations from every angle. Our terrific panel for this discussion will be:

  • Cheryl Scarboro, Chief, SEC FCPA Unit;
  • John Reed Stark, Managing Director, Stroz Friedberg, a digital forensics firm (former Chief, SEC Office of Internet Enforcement)
  • Jonathan Barr, Partner, Baker Hostetler (former SEC Senior Counsel, DOJ Trial Attorney and AUSA).

Free Anti-Bribery & Corruption Masterclass from the Bribery Act

The workshops will take place in early 2011, in our office in London. Each will be geared to a specific industry sector (Pharmaceutical & medical device, construction, defence, oil & gas/extractive and information technology) and will look at the specific risk areas in each sector covered. The focus of the workshops will be the practical implications of the new law and compliance with it in that sector.

The FCPA Mulligan Rule by Mike Koehler in FCPA Professor

[O]ften times, when the requestor senses that it will not receive a favorable DOJ opinion, it simply withdraws the request. I confirmed that this practice does indeed occur with a former high-ranking DOJ FCPA official and others.

Call it the FCPA mulligan rule.

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