|Date and Time:||4/9/2015 11:30 AM – 1:30 PM
|Topic:||International Compliance Audits ("10 Steps to Complete a Compliance Assessment and Avoid Discovery of Problems in the Actual Audit")
5200 Illumina Way,
San Diego, CA 92122
|Contact:||San Diego NASPP
|Contact Phone:||(858) 863-6412
Make compliance audits a breeze with our ten key steps! As U.S. and non-U.S. governments have become increasingly focused on equity awards, global stock plans face greater exposure than ever for noncompliance with applicable tax, securities, exchange control and data privacy laws. Using real-life examples, this panel will demonstrate how to identify compliance issues (both from a regulatory and administrative perspective), procedures for minimizing exposure and bringing plans into compliance, and best practices and strategies for maintaining compliance.
Topics addressed will include:
* Why Conduct a Compliance Audit?
* Determining what Areas to Cover?
* Who manages the Audit?
* How to Obtain Stakeholder Buy-in?
* What Issues Commonly Uncovered?
* How to Address Identified Compliance Issues?
* What Steps to Take to Prevent Future Issues?
Nicole C. Calabro, Of Counsel, Baker & McKenzie LLP
Nicole Calabro is a member of the Firm's Global Equity Services Group. Nicole practices in the area of compensation and employment and is knowledgeable in all facets of employee equity plans. She regularly assists public and private companies in offering their employee equity plans around the world. Nicole is currently a member of the National Association of Stock Plan Professionals and the Global Equity Organization. Nicole consults on plan design, tax considerations, securities filing and disclosure requirements, exchange control rules, labor law exposure, data privacy concerns and other compliance issues connected to offering employee equity plans in different jurisdictions. She also advises companies on the effects of mergers, reorganizations, spin-offs and other corporate adjustments on their equity programs. In addition, Nicole is seasoned in cross-border tax issues for equity awards held by mobile employees.
Valerie H. Diamond, Partner, Baker & McKenzie LLP
Ms. Diamond is Chair of the Global Equity Services Group at Baker & McKenzie's San Francisco office. She assists companies in the design and implementation of international employee stock plans and provides advice on the tax, securities law and exchange control compliance issues that arise when options, restricted stock or purchase rights are granted to employees. Ms. Diamond is recommended by Legal 500 and has been named a "Leader in the Field" by Chambers USA 2014, described as "the 'impressive' Valerie Diamond," and is recognized by clients as being "just wonderful." Ms. Diamond serves on the National Association of Stock Plan Professionals Advisory Committee and is an active member of the Global Equity Organization and Certified Equity Professionals Institute advisory board. Ms. Diamond is the 2008 recipient of the National Association of Stock Plan Professionals' Individual Achievement Award.
Continuing Education Credits:
1 CEP ()