Investment and Compliance

November 20, 2013
Categories: Anti-corruption, Bribery, Corruption, CREATe Experts, Global Supply Chains, Intellectual Property

What do senior executives view as the top risk in cross-border deals? According to a study by the Economist Intelligence Unit for law firm Baker & McKenzie LLP, “46% of the respondents cited legal and regulatory challenges as the top risk to such deals.”

Investors around the world are increasingly concerned about compliance. Case in point:’s COO Craig Moss recently participated in a China Compliance Officer Forum held by private equity firms for their portfolio companies.

The two events, held in Beijing and Shanghai, addressed the key areas of compliance for companies looking to adhere to global guidelines for anti-corruption. Sessions covered a range of topics, from a discussion on the ‘more aggressive enforcement by Chinese Regulatory Authorities,’ to ‘compliance requirements for new investors, an initial public offering (IPO) or company sale.’

The presentation by CREATe focused on the importance of moving ‘beyond contracts’ to implement management systems to effectively address anti-corruption. The session looked at how to identify and address problems at the root-cause level to prevent their recurrence.

The half-day sessions attracted a broad range of companies – from Chinese emerging growth companies to multinationals operating in China and subject to their anti-corruption laws.

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In the US, Craig Moss is participating in another workshop targeted to companies poised for an initial public offering. This week, New York Stock Exchange (NYSE) Governance Services is holding an IPO Readiness Conference which focuses on governance and compliance risks and opportunities when going through the initial public offering (IPO) process.

The one-day session takes place at the New York Stock Exchange on Thursday, November 21st. The program will break down the elements of a compliance program for companies needing to prevent fraud in compliance with the Sarbanes-Oxley Act (SOX) and the Foreign Corrupt Practices Act (FCPA). The presentation by CREATe will focus on leveraging technology to develop a scalable monitoring program; and will explore how processes and a broader management system are needed to complement technology for effective monitoring.

For more information about the conference, please visit

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