Governance & Securities
Name one law that governs the Governance & Securities team work
Securities Act of 1933, Securities Exchange Act of 1934, Sarbanes-Oxley Act, Delaware law, and NASDAQ Listing Rules
This stage of the entity lifecycle handles shutting down a legal entity that's no longer needed, and skipping it risks cost, risk, and audit exposure.
CLOSE
Covering Privacy, Consumer Protection, Payments, and Competition, these are the requests where GE&C acts as the operational Informed Captain.
RFIs (Requests for Information)
Besides Logistics and Tax, name one other team Trade Compliance partners with on cross-border movement.
Productions, Marketing, CPX/Consumer Products, Experiences
Of LERT's four regions for criminal cases, this region has the second-largest share.
LATAM (39%)
Name 2 out of the 6 steps for a stock split.
Legal review, board approval, SEC & NASDAQ, announcement, new shares, closing out
Besides confirming a colleague has signing authority, this is what the team actually wants them to walk away with.
PROOF
GE&C's work is shaped by six focus areas, name three of the six.
Anti-Corruption & Bribery, Anti-Money Laundering, Core Policies, Human Rights & Labor, Political Law & Conflicts, RFIs
Trade Compliance's day-to-day work is shaped by three core program areas, two of which are these.
Sanctions & Screening, Import & Export Regulations, Customs Compliance & Audit Readiness
LERT LATAM handles thousands of third-party civil cases every half year with help from this outside partner.
Outside Counsel LBCA or Teleperformance
Name 3 of the 6 partners the Governance & Securities team work with.
Finance, Treasury, Compensation, Investor Relations, Stock Operations, Board and Committees
Before the team can answer 'Can I sign this?', these are the 4 Ws they need to know.
Which entity, what document, where in the world, and when will/did you sign
When asked to approve a donation instead of paying a location fee, this is what GE&C actually does instead of rubber-stamping it.
Provide guidance on how to make the donation, review risk factors, and conduct due diligence on the recipient
These are the two tools Trade Compliance uses to give teams quick access to information so they can make fast, informed decisions.
The IOR Guidance Tool & Customs Broker Directory
Of LERT's 10,774 total target tickets, this category makes up just over half at 52%.
3rd Party Civil cases (mainly from Brazil)
Name 3 out of the 8 things the Governance & Securities team do.
Netflix Board and Committee support, governance policies and charters, regulatory compliance, shareholder engagement, SEC and other reporting in the U.S., capital market and treasury, insider trading policy, and stock plan administration
The team’s partnership with the rest of Legal & Business Affairs spans four areas, one of which covers restructurings and integrations.
M&A & Reorganizations
In the Caliente case, GE&C classified the relationship as mid-tier risk and moved forward under three tailored controls, two of which are these.
Ad relationship only, no fund transfers, ongoing monitoring.
Logistics can't finalize a shipment without this determination from Trade Compliance first, and Trade can't make that determination without Logistics either.
The classification and licensing determination
In this country, LERT can't deliver a legal data package digitally, it requires an in-person handoff of a print-ready package at a local office, in exchange for a physical search-and-seizure warrant.
Japan