Information you need from those in the know

Cadwalader regularly publishes materials, including newsletters and news alerts of interest to our clients. Our communications portfolio also includes articles authored by our attorneys, as well as information about events in which our personnel will participate.

Articles & Books

Tax Reform: Effects on Funds and Securitizations

Dec 11, 2017

Tax Management Memorandum

Jason Schwartz, Jean Bertrand and Kara Altman discuss the provisions in the current House and Senate tax reform proposals that could, if enacted in their current form, significantly affect securitization vehicles and investment funds.


Related Attorney(s): Kara Altman, Jean Bertrand, Jason Schwartz
Related Practice(s): Securitization & Structured Products Taxation, Tax
Related Office(s): New York
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Elements of an Effective Corporate Compliance Program

Nov 17, 2017

Fraud & White Collar Crime 2017 Expert Guide

Companies that are either located in, or transact business in the United States – even if they are not in highly regulated industries like health care or finance – are subject to an almost ever-increasing array of regulations with which they must comply. Add to that the financial incentives provided by the whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 (“Dodd-Frank Act”) and companies can find themselves at the center of regulatory or criminal investigations in an instant.


Related Attorney(s): Jodi Avergun
Related Practice(s): White Collar Defense and Investigations
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Share Reserve and Other Limits in Public Company Equity Plans

Nov 15, 2017

Practical Law

This article addresses the key considerations when establishing the share reserve and other limits in a public company equity plan, including business and shareholder considerations, the requirements of Sections 162(m) and 422 of the Internal Revenue Code, proxy advisory firm scoring and review, the voting guidelines of institutional investors, and potential shareholder litigation related to director awards.


Related Attorney(s): Gianna Sagan, David Teigman
Related Practice(s): Corporate, Executive Compensation & Benefits, Executive Compensation, Benefits & ERISA
Related Office(s): New York
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Events

ACI Summit on Controlled Substances – Regulation, Litigation, and Enforcement

Jan 29-31, 2018

Cadwalader partner Jodi Avergun will discuss “Reassessing your Responsibilities in Light of the Changing Scope of Suspicious Order Monitoring Requirements” at the American Conference Institute’s Summit on Controlled Substances – Regulation, Litigation, and Enforcement.

Related Attorney(s): Jodi Avergun
Related Practice(s): False Claims Act and Health Care Fraud, Global Litigation, Health Care Fraud Strike Force, Pharmaceutical Regulation and Compliance, White Collar Defense and Investigations
Related Office(s): Washington
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Clients & Friends Memos

Seventeen Provisions to Watch in the Senate Tax Reform Bill

Dec 12, 2017

On December 2, 2017, the Senate passed a tax reform bill that differs in some key aspects from the tax reform bill the House approved on November 16, 2017. A House and Senate conference committee will begin work to resolve the differences between the House and Senate bills.  Once the conference committee has reached an agreement, both the House and Senate must vote to pass a final bill in identical form before President Trump can sign the tax reform bill into law.  Key provisions of the Senate bill are summarized below.  We will update you as significant developments unfold.


Related Attorney(s): Jean Bertrand, Mark Howe, Jason Schwartz, Gary Silverstein, Linda Swartz, Edward Wei
Related Practice(s): Tax
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Subscription Credit Facilities: Misperceptions Remain Aplenty

Dec 07, 2017

On November 15, 2017, audit, tax and consulting firm PwC published a thought leadership piece titled:  “Sub-line facilities: end of the road?” (the “Article”).  While the subscription credit facility (“Subscription Facility”) market has become accustomed to seeing inflammatory headlines in the financial press in recent years, it is somewhat unsettling to see a thought leadership piece from the likes of PwC bear such an ominous title.  PwC is an experienced, global, preeminent financial institution with countless touch points with the private equity industry.  The Article’s title suggests that PwC’s audit or tax practices might have recent experiences or observations that support such a dire headline.  Reading the article, however, that does not at all appear to be the case.


Related Attorney(s): Michael Mascia
Related Practice(s): Securitization & Asset Based Finance
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UK Budget 2017 – Key Tax Measures

Nov 23, 2017

The Chancellor of the Exchequer delivered the UK Budget for 2017 on 22 November 2017.  Delivered against the backdrop of the UK’s ongoing negotiations to exit from the European Union, the Budget featured a significant downgrading of UK economic growth forecasts alongside a more encouraging reduction of public borrowing to less than 2 per cent of national income by 2020-2021. 

In this challenging economic situation, the Chancellor’s Budget navigated a careful passage in tax policy terms.  While there were some eye-catching proposals, including the abolition of stamp duty on real estate purchases of up to £300,000 for first-time buyers, the Government’s overall message in the Budget to the UK’s corporate and financial sectors was one of continuity rather than radical change.


Related Attorney(s): Adam Blakemore, Catherine Richardson
Related Practice(s): Tax
Related Office(s): London
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Blogs & Newsletters


Recent Blog Postings


Health Care Fraud Focus

Court: CMS’ Broad Authority To Suspend Medicare Payments Based On Alleged Overpayments Beyond Judicial Review Until All Administrative Remedies Are Exhausted

Nov 17, 2017


On October 19, 2017, the United States District Court for the Northern District of Illinois, in the case of MedPro Health Providers, LLC v. Hargan, dismissed a home care agency’s suit — without deciding the merits of the agency’s challenge to a Medicare contractor’s determination to suspend the agency’s Medicare payments.  Noting that the delay... Continue Reading…


Does a 2016 Law Strip DOJ and DEA of Police Powers to Enforce Drug Laws?

Nov 01, 2017


Last week, President Trump declared the opioid crisis a public health emergency. The President’s opioid Commission has now issued its final report with recommendations on how to combat the country’s drug crisis. While both important, neither have a significant impact on law enforcement efforts to address the crisis. That impact will likely come from public... Continue Reading…


Price is Out, But Health Care Fraud and Compliance Enforcement Remain Steady

Oct 03, 2017


Tom Price is out as Secretary of the U.S. Department of Health and Human Services (“HHS”).  Mr. Price announced his resignation on September 29th as he faced more questions and increasing scrutiny over his use of taxpayer-funded private planes.  While Mr. Price’s departure from HHS will impact some aspects of the Trump Administration’s health care... Continue Reading…



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FCPA Advisor

US and UK Regulators Speak Out on Anti-Corruption Enforcement Trends and Priorities

Dec 06, 2016


A number of key trends and priorities in international anti-corruption enforcement emerged last week at the 33rd ACI International Conference on the Foreign Corrupt Practices Act, held November 29 – December 2 outside of Washington, DC. Leading prosecutors and regulators from the US and UK described skyrocketing international law enforcement coordination, announced both “sticks” and “carrots” to encourage self-disclosure and cooperation, and pledged again to hold individuals accountable for anti-corruption violations. Officials from the Department of Justice (DOJ), the Securities and Exchange Commission (SEC), and the UK Serious Fraud Office (SFO) repeatedly emphasized these points in both their prepared remarks and their responses to questions.


Related Attorney(s): J. Robert Duncan, James Treanor
Related Practice(s): FCPA Enforcement and Compliance, White Collar Defense and Investigations
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Paper Tigers: Recent Settlements Show Companies Operating in China Need to Do More to Enforce FCPA Policies

Mar 02, 2016


Amid a recent flurry of Foreign Corrupt Practices Act (“FCPA”) settlements announced by the U.S. Department of Justice (“DOJ”) and U.S. Securities and Exchange Commission (“SEC”) were two settlements relating to the provision of improper gifts, hospitality and travel to Chinese government officials.


Related Attorney(s): James Treanor
Related Practice(s): FCPA Enforcement and Compliance, White Collar Defense and Investigations
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Bank of New York Mellon Settles FCPA Charges Regarding Internships for Relatives of Sovereign Wealth Fund Officials

Aug 20, 2015


On August 18, 2015, the Securities and Exchange Commission (“SEC”) announced that the Bank of New York Mellon Corporation (“BNY Mellon”) had agreed to settle administrative charges that it violated the Foreign Corrupt Practices Act (“FCPA”) by providing internships and work experiences to family members of officials of a Middle Eastern sovereign wealth fund (the “Fund”). The resolution with BNY Mellon continues a trend of aggressive FCPA enforcement by the SEC and marks the first time that the influencing of officials of a sovereign wealth fund has been the basis of an FCPA enforcement action.


Related Attorney(s): A. Joseph Jay III
Related Practice(s): FCPA Enforcement and Compliance, White Collar Defense and Investigations
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Trade Alert

Trade Alert - November 2017, Issue 47

Dec 04, 2017


Jurisdiction: Nigeria


Related Attorney(s): Louisa Watt
Related Practice(s): Debt & Claims Trading, Financial Restructuring
Related Office(s): London
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Trade Alert - October 2017, Issue 46

Nov 01, 2017


Jurisdiction: Turkey


Related Attorney(s): Louisa Watt
Related Practice(s): Debt & Claims Trading, Financial Restructuring
Related Office(s): London
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Trade Alert - September 2017, Issue 45

Sep 29, 2017


Jurisdiction: Luxembourg


Related Attorney(s): Louisa Watt
Related Practice(s): Debt & Claims Trading, Financial Restructuring
Related Office(s): London
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Women in the City Program

Update - February 2017

Feb 14, 2017


What skills do women need to be successful leaders in the Fintech and alternative finance industry?

Can emerging companies offer an opportunity for women to do something different? Can technology revolutionise conventional financial services? These and other questions were debated by a panel of high profile leaders from the European FinTech and alternative finance industry to discuss opportunities and challenges for women in this growing area as part of Cadwalader’s Women in the City Programme, a series of seminars designed to inspire more women to take leadership roles in their organisations by offering open dialogue, useful insights and practical guidance.


Related Attorney(s): Jeremiah Wagner
Related Office(s): London
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Update - October 2016

Oct 14, 2016


How can more women be encouraged into funds?

This question was debated by a panel of women leaders in the investment fund industry at Cadwalader's second Women in the City debate.  The programme of discussions is designed to inspire more women to take leadership roles in their organisations by offering open dialogue, useful insights and practical guidance. Cadwalader hosted a large group of clients and colleagues over breakfast for a very lively panel discussion entitled "Women in Investment Funds: A Fundamental Advantage: Building Female Talent in the Investment Management Sector".


Related Attorney(s): Ingrid Bagby, Karen McMaster
Related Office(s): London
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Update - August 2016

Aug 04, 2016


What skills do women need to be successful leaders?

This question was debated by a panel of high profile female leaders at the recent launch of Cadwalader's Women in the City Programme, a series of seminars designed to inspire more women to take leadership roles in their organisations by offering open dialogue, useful insights and practical guidance.


Related Attorney(s): Gregory Petrick, Louisa Watt
Related Office(s): London
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Videos

Rock Paper Scissors: Religious Freedom or Equal Rights?

Nov 1, 2017

During the fifth installment of the Civil Rights Series – "Rock Paper Scissors: Religious Freedom or Equal Rights?" – Janson Wu, Executive Director at GLAD and Columbia Law Professor Suzanne Goldberg led a discussion on the class of two core American values – religious freedom and freedom from discrimination. We discussed historical cases and the Masterpiece Cakeshop case.


Related Page(s): Civil Rights Series, Diversity & Inclusion

Fanning the Flames: The Rise in Hate Crimes in America

Sep 13, 2017

Kenneth Jacobson, Deputy National Director Anti-Defamation League, and Christopher Magyarics, Senior Investigative Researcher and Training Coordinator Anti-Defamation League’s Center on Extremism, led an open discuss on the rise in hate crimes in America and how we can play a larger role to combat them. 


Related Page(s): Diversity & Inclusion

Marching for Justice: A Discussion with Women’s March Founders

July 19, 2017

Three founders and organizers of the historic Women’s March - Mrinalini Chakraborty, Emma Collum and Breanne Butler - discussed the history of social activism, the genesis of the Women’s March and future plans.


Related Page(s): Diversity & Inclusion

Cadwalader News

ACI Summit on Controlled Substances: Regulation, Litigation and Enforcement

Jodi Avergun is speaking at this ACI event on January 30 in Washington, DC.

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