What’s Your Score? Achieve Global Regulatory Compliance with a Balanced Scorecard


Companies confront countless challenges associated with implementing and operating international employee equity plans, and regulatory compliance challenges are near the top of the list. As anyone who manages a global plan will attest, the issues they face can be as wide and varied as the countries in which they choose to grant equity-based awards. Take approved plans in France, Russian data privacy or China SAFE. Faced with these types of complexities, any company might be forgiven for foregoing their equity programs in favor of simpler compensation strategies. But despite these hurdles, companies still choose to offer employee equity plans to recruit, retain and reward their talent. Provided they’re managed correctly, they’re a win-win for both the issuer and the employee.

The four corners of a balanced scorecard

In this white paper, Solium breaks down the black box of “regulatory compliance” and introduces a balanced scorecard to help issuers plan for success. To safely operate a global employee equity plan, companies should concentrate on all four areas to achieve a balanced scorecard.

  1. Securities law – Test your knowledge on this topic!
  2. Exchange control regulations – Test your knowledge on this topic!
  3. Data protection – Test your knowledge on this topic!
  4. Employment law – Test your knowledge on this topic!

A higher score means lower risk

Although all areas have the potential for risk, securities law and exchange control regulations are considered to be the most significant, and failure to comply with them can have serious implications, including:

  • Fines (e.g. for holding shares or failing to comply with local laws)
  • Criminal penalties
  • Inability to deliver shares
  • Blacklisting by government regulatory bodies (potentially affecting government approvals for other activities in a jurisdiction)
  • Negative publicity and reputational risk
Download the full white paper




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