Category Archives: compliance

SEC Enforcement Actions Highlight the Intelligence to Be Found in Corporate Control Contests

By: David A. Holley

Berkeley Research Group’s Global Investigations + Strategic Intelligence experts provide a unique service to boards of directors and their advisors involved in contests for corporate control. Their role is to develop information through investigation to allow clients and their advisors to make the most informed decisions consistent with their goals and legal strategy. Frequently, this information takes the form of diligence on the proffered slate of dissident directors or the proposed transaction. Our experts seek to identify and bring to light information for our clients to use to shape their shareholder engagement strategy. Our team has decades of experience conducting investigations in connection with hostile takeover defense.

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Mexico’s New National Anti-Corruption System

With the implementation of the new anticorruption legislation in Mexico in July of 2016, Mexican President Enrique Pena Nieto and the Mexican government have demonstrated their continuing commitment to combat corruption, support transparent governance and improve the ability of organizations to operate free of the systemic corruption that has plagued both the public and private sectors in Mexico for decades. Continue reading Mexico’s New National Anti-Corruption System

The Draft ISO 37001 Anti-Bribery Standard’s Promise and Limitations

By: David A. Holley and William Marquardt

This past April, the International Organization for Standardization (ISO) released its draft standard on anti-bribery management systems (ISO 37001). The standard is tentatively scheduled to be finalized later this year. In substantive content, the draft ISO standard is similar to the FCPA Resource Guide provided by the U.S. Department of Justice and Securities and Exchange Commission, in that it provides a list of elements that an effective anti-bribery/corruption (“ABC”) program should contain.

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