Organizations have benefited from strong economic growth and an increase in global deals. However, those in charge of entity management have the added burden of ensuring subsequent legal, regulatory, and contractual compliance. Alleviate risk and strengthen your control on global compliance with this complimentary webinar. Improve decision making with expert insights into key factors such as legislative updates, anti-money laundering regulations, and transaction compliance. Plus, learn how to best leverage technology to streamline processes and ensure compliance. Topics covered: Keeping up with on-going local legislation changes Risk of non-compliance with local regulation changes Anti-money laundering regulations Pre- and post-transaction compliance checklist Leveraging technology to ensure global compliance

1. CTWolters Kluwer
CTWolters Kluwer
Global Compliance Professionals &
Entity Management: Staying in
Control
Presented by:
Brian Garcia, Esq. Global Director of Governance - CT
Bianca Erb, Global Business Consultant - CT
John Guarin, Global Project Manager - DLA Piper

2. CTWolters Kluwer
Agenda
Keeping Up w/ Legislation Changes
Risk of Non-Compliance
Anti-Money Laundering Regulations
Pre/Post transaction Compliance Checklist
Technology & Global Compliance

3. CTWolters Kluwer
● Brian Garcia, Esq., Global Director of
Governance | CT Corp
● John Guarin, Global Project Manager|
DLA Piper
Speakers
● Bianca Erb, Global Business
Consultant | CT Corp
Introductions

4. CTWolters Kluwer
On-Going Legislation Changes
Corporate Secretarial Employment
 Stable legislation
 Annual compliance focus:
 AGM
 Financial statements internal
coordination, audit and filings
 Global complexity –
scheduling (calendar vs fiscal
year)
 Fairly stable legislation
 Annual compliance focus:
 Works council relation/reports
 Workers union agreement
compliance
 Minimum legal wages
adjustments
 Annual inflation
adjustment
 Hyperinflation countries

5. CTWolters Kluwer
On-Going Legislation Changes
Tax Regulated Industries
 Volatile legislation
 Annual compliance focus:
 Local federal/national,
state/department and
city/municipal filings
 Global filings: “Country-by-
Country” report filings
 Global substance: “Economic
Substance filings”
 Somewhat volatile legislation (except
for crisis times)
 Annual compliance focus:
 Banking, Insurance, leasing, trust
 Annual/biannual/quarterly/
monthly filings
 Medical, biomedical, food and
related industries
 Annual licensing & customs

6. CTWolters Kluwer
Risk of Non-Compliance
Corporate Secretarial
Late Filing Penalties
Strike Off
Mandatory Liquidation
Loss of business
Employment
Penalties - Ministry of Work
Disruption of Work Flow
Poor HR Relationship
Works Council – EU Reporting

7. CTWolters Kluwer
Risk of Non-Compliance
Tax
Good tax citizenship (audits)
Penalties & Interest $$$$$$+
Criminal implications
Lifting corporate veil
Admonition Notices
Exposure to penalties
Additional Supervision
Business Take Over/Shutdowns
Regulated Industries

8. CTWolters Kluwer
Ultimate Beneficial Ownership Disclosure
Ultimate Beneficial Ownership Registry
Amendment of European Union Anti-
Money Laundering Directive (5th AMLD)
Crypto Currencies
Blacklist Countries
AML Regulations
7
Fines
Reputational Risks
Operational Risks
Penalties

9. CTWolters Kluwer
Business Analysis
Structuring Analysis
Corporate/Contractual/Tax
Type of Legal Presence (3rd
party distributor/agent or
sub/branch/PE)
HR/Employment Systems/Controls Execution Partner
Pre-Transaction (Globalization) Checklist

10. CTWolters Kluwer
Annual
Compliance
Global Internal
Control
Systems
Intercompany
Agreements
Intellectual
Property
Protection
Entity
Simplification
Post-Transaction (Globalization) Checklist

11. CTWolters Kluwer
Calendar System
Central Repository Information/Documents
Tax and Legal Collaboration
Single Source of Truth
Protect Company Information and Due
Dates
Technology & Global Compliance

12. CTWolters Kluwer
THANK YOU FOR ATTENDING
Global Compliance Professionals &
Entity Management: Staying in
Control