International Securities Regulation

Companies that acquire or invest in offshore entities or in entities that conduct business overseas may inherit FCPA risks.

Clearly, the DOJ and the SEC are viewing these transactions and the

Continue Reading Acquiring Companies of Foreign Interests Risk FCPA Liability

Over the course of many years, I have been questioned by American BDs as to their responsibilities for sales to people outside the United States.  My response has always been that they

Continue Reading Foreign Fund Issuers selling in the United States May Require Registration

Although it has been somewhat circumspect, the SEC seems to be stalling on a move towards adopting the international accounting standards of International Financial Reporting Standards (“IFRS”).  Such an approach has

Continue Reading Is the U.S. Moving Towards International Accounting Standards. . . Not Really (Again)