(To download a PDF copy of the course materials, please click on the title of each document.)
I.
New Regulatory
Environment
1.
Regulatory Implications of the Global Financial
Crisis
by Bradley Gans
2.
International Accounting Standards Board (IASB):
Who We Are and What We Do
Submitted by Peter Holgate
3.
IASB Work Plan – Projected Timetables as at
6 November 2009
Submitted by Peter Holgate
4.
A Review of Corporate Governance in UK Banks and Other Financial Industry Entities
Submitted by Sandpiper Partners
II.
Proposed Changes in
Governance and Compensation Policies: A Brave New World
1.
U.S. Compensation Reform Efforts: A Brief Overview
By Edward F. Greene
2.
Financial Reporting Council Press Notice: FRC
Issues Update on the Review
of The Combined Code
Submitted by Sir Christopher Hogg
Submitted by Sir Christopher Hogg
4.
Impact of Proposed Changes in Governance and Compensation Policies on new Capital Raisings
By Tom Troubridge
III.
Compliance and Risk
Management
1.
How Much is Enough? Defining ‘Adequate Procedures’
in Response to the UK Bribery Bill 2009
Submitted by Andrew Gordon
2.
Act Now or Pay Later: The UK Bribery Bill 2009
Submitted by Andrew Gordon
3.
UK Bribery Bill – Consequences of failing to
prevent bribery
Submitted
by Andrew Gordon
4.
2009 Global Economic Crime Survey Report: Economic Crime in a Downturn
Submitted by Andrew Gordon
5.
2009 Global Economic Crime Survey – United Kingdom Report
Submitted by Andrew Gordon
6.
Narrowing the Difference Between US and UK Anti-Corruption Law
Submitted by Peter Burrell
7.
The Government’s Bribery Bill – The Joint Committe
Submitted by Peter Burrell
8.
UK’s Serious Fraud Office Historic First Prosecution of Company
for overseas Corruption
Submitted by Peter Burrell
9.
Compliance and Risk Management
Submitted by Peter Burrell
10.
Compliance and Risk Management: Assessment and Mediation
By Mark Serfozo
11.
Compliance and Risk Management: Avoiding and Responding to
Regulatory Investigations
By Leanne Geale
12.
How Your Business Can Achieve Compliance: A Guide to Achieving Compliance
with Competition Law
Submitted by Thomas Hoehn
13.
Compliance and Risk Management
By Gary DiBianco
14.
Anti-Corruption Due Diligence In Corporate
Transactions: One Size Does Not Fit All
By
Gary DiBianco
IV.
Enforcement –
Crime and Punishment
1.
The Market Implications of U.S. Financial
Regulatory Reform
By
Richard H. Walker
2.
OTC Derivatives Market Reform: Implications for
Corporate End-Users,
Banks and Broker-Dealers
By
Richard H. Walker
3.
Outline of Recent SEC Enforcement Actions
Submitted by Robert Khuzami
Submitted by Richard Alderman
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