Tag: M&A

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Compliance Tip of the Day

Compliance Tip of the Day – Why Engage in Pre-acquisition Due Diligence

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, we aim to provide you with bite-sized, actionable tips to help you stay on top of your compliance game. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

Today, we consider the multiple legal and business reasons to engage in pre-acquisition due diligence in M&A transactions.

For more on this topic, check out The Compliance Handbook, a Guide to Operationalizing Your Compliance Program, 6th edition, which LexisNexis recently released. It is available here.

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Compliance Tip of the Day

Compliance Tip of the Day – Key M&A Enforcement Actions

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, we aim to provide you with bite-sized, actionable tips to help you stay on top of your compliance game. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

M&A under the FCPA is well-settled. Today, we consider three seminal enforcement actions.

For more on this topic, check out The Compliance Handbook, a Guide to Operationalizing Your Compliance Program, 6th edition, which LexisNexis recently released. It is available here.

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Compliance Tip of the Day

Compliance Tip of the Day – M&A – International Issues

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, we aim to provide you with bite-sized, actionable tips to help you stay on top of your compliance game. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

Today, we conclude a two-part exploration of issues in the realm of mergers and acquisitions. Yesterday, we looked at the domestic side of things, and today, we consider the international side.

For more on this topic, check out The Compliance Handbook, a Guide to Operationalizing Your Compliance Program, 6th edition, which LexisNexis recently released. It is available here.

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Compliance Tip of the Day

Compliance Tip of the Day – M&A Domestic Issues

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, we aim to provide you with bite-sized, actionable tips to help you stay on top of your compliance game. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

Today, we begin a two-part exploration of issues in the realm of mergers and acquisitions. Today, we look at the domestic side of things; tomorrow, the international side.

For more on this topic, check out The Compliance Handbook, a Guide to Operationalizing Your Compliance Program, 6th edition, which LexisNexis recently released. It is available here.

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Adventures in Compliance

Adventures in Compliance: The Novels – The Hound of the Baskervilles: Uncovering M&A Compliance Lessons

In this new season of Adventures in Compliance, host Tom Fox takes a deep dive into the Sherlock Holmes novels. Over the course of this season, Tom Fox will take a deep dive into each novel in a four-part series. The four novels we will consider from the ethics and compliance perspective are A Study in Scarlet, The Sign of Four, The Hound of the Baskervilles, and The Valley of Fear. For the month of July, we are considering lessons from The Hound of the Baskervilles. Today, Timothy and Fiona are back to consider the pre- and post-acquisition M&A lessons from the novel.

This episode explores the fascinating parallels between Sir Arthur Conan Doyle’s ‘The Hound of the Baskervilles‘ and modern corporate compliance. By examining Sherlock Holmes’ meticulous investigative methods, we gain critical insights into due diligence, compliance integration, and forensic investigations. Discover how to apply Sherlockian principles to proactively prevent corruption, foster an ethical corporate environment, and transform potential liabilities into assets. We break down these ideas into three stages: pre-acquisition due diligence, post-acquisition training and integration, and the handling of forensic investigations when issues arise.

Highlights include:

  • Pre-Acquisition Due Diligence: The Sherlockian Approach
  • Post-Acquisition Integration: Building a Baskerville Hall of Compliance
  • Forensic Investigations: Swift and Evidence-Based Responses
  • Conclusion: Applying Sherlockian Insights to Modern Compliance

Resources:

The New Annotated Sherlock Holmes

Sherlock Holmes FAQ by Dave Thompson

Sherlock Holmes, The Novels with an introduction by Michael Dirda

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Great Women in Compliance

Great Women in Compliance – The Compliance Playbook: Best Practices for M&A Success

Hear from M&A veterans @Allison Riter of nVent and @Barbara Petitti of Alstom on the importance of having a Compliance Playbook to ensure the success of compliance program integration. From having a seat at the due diligence table to conducting a risk assessment to deciding the best model for #ComplianceProgram integration, this roundtable will discuss these topics and much more.

Listen in here to learn practical tips, red flags, insights, and how to deal with culture clashes from those who have been on the M&A journey.

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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 6 – M&A Safe Harbor Policy

Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days of the series in January 2025, Tom Fox will post a key part of a best practices compliance program daily. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, and will include three key takeaways you can implement at little or no cost to help update your compliance program. I hope you will join us each day in January for this exploration of best practices in compliance.

This episode delves into the Department of Justice’s mergers and acquisitions (M&A) Safe Harbor Policy, as Deputy Attorney General Lisa Monaco explained. This policy encourages companies to voluntarily self-disclose criminal conduct discovered during acquisition. If a company promptly discloses such misconduct, cooperates with the ensuing investigation, and engages in appropriate remediation, restitution, and disgorgement, it can receive a presumption of a criminal declination. Key deadlines include disclosing misconduct within six months of the closing date and fully remediating within one year. The DOJ aims to incentivize acquiring companies to perform robust pre- and post-acquisition due diligence and self-disclosure to mitigate risks and de-risk transactions effectively.

Key highlights:

  • New DOJ Mergers and Acquisitions Safe Harbor Policy
  • Key Requirements and Deadlines
  • Historical Context and Clarifications

Resources:

Click here to receive a 20% discount on The Compliance Handbook, 5th edition, for listeners to this podcast.

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Great Women in Compliance

Great Women in Compliance – Reflections and Resilience Through a Compliance Career with Karen Bertha

Welcome to the Great Women in Compliance podcast with Hemma Lomax and Lisa Fine, sponsored by Corporate Compliance Insights.   In today’s episode, Lisa speaks with Karen Bertha, who has built world-class programs throughout her career, most recently at V2X.   She has significant acquisition and post-acquisition due diligence expertise, including at V2X.  After that acquisition, she was at a crossroads and needed time to take stock and pause.

Karen reflects on her work with due diligence, including how and when compliance should be involved in due diligence.  They also discuss strategies for post-integration, even if compliance is brought at some point later.  Karen has worked in highly regulated industries, such as government contracting, and those not in highly regulated industries. She shares her experiences and lessons learned.

Karen left V2X after the acquisition when she needed time for herself and other parts of her life.  She talks about how the “power of the pause” has been helpful to her.  She talks about reflecting on her work in the Ethics & Compliance profession, increasing her learning, specifically in compliance-adjacent fields like Human Resources and audit, with time to focus.  She also shares what she has enjoyed during this time, which we at #GWIC hope can inspire those thinking about your next steps or between roles.

Join the Great Women in Compliance community on LinkedIn here.

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Compliance Tip of the Day

Compliance Tip of the Day: Lessons on Post – Acquisition Integration and Investigation in M&A from John Deere

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements.

Whether you’re a seasoned compliance professional or just starting your journey, our aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law.

Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

The rules for compliance programs on post-acquisition integration and investigation are set out in the DOJ M&A Safe Harbor Policy. Learn and implement them.

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Compliance Tip of the Day

Compliance Tip of the Day: Lessons on Pre-Acquisition Due Diligence in M&A from John Deere

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements.

Whether you’re a seasoned compliance professional or just starting your journey, our aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law.

Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

Inadequate pre-acquisition due diligence can put your company in serious legal, compliance, and reputational jeopardy.