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Misconduct in the C-Suite: SEC Settles FCPA Case with CEO

The SEC is setting its sights on individual prosecutions. Both the Justice Department and the SEC have reiterated the importance of prosecuting individuals. DOJ’s Yates Memorandum promises to deliver an increase in civil and...more

Your daily dose of financial news The Brief – 2.11.16

Day 1 of Dr. Yellen’s trip to the Hill is done, and the official tone is “cautious,” with Yellen predicting continued economic growth and eventual additional rate hikes but expressing concerns about international threats to...more

Foreign investment review and national security

Focus on the US - Scope of foreign investment review expanding in the US - The US maintains an extensive, though voluntary, foreign investment review process under the Committee on Foreign Investments in the US...more

Your daily dose of financial news The Brief – 2.10.16

We’ve all heard about the billions in tax savings associated with corporate tax inversions, but Deal Professor says the real tax-avoidance game is in a strategy called “earnings stripping”—a technique in which a multinational...more

UK Financial Regulatory Developments - February 2016 #4

ESRB approves expansion of macroprudential policy framework - ESRB has published two recommendations relating to expanding the European macroprudential policy framework. The first concerns the counter-cyclical buffer...more

Your daily dose of financial news The Brief – 2.9.16

Think you need to be in commodities or emerging markets to send ripples of fear through the markets these days? Well how about one of the world’s biggest banks. Because markets aren’t so hot on them right now, either –...more

UK Financial Regulatory Developments - February 2016 #3

Treasury plans lending perimeter changes - Treasury has published the draft Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2016 for approval by both Houses of Parliament. Treasury...more

Germany-Based Software Company Settles Bribery Case with SEC for $3.7 Million

On February 1, the SEC agreed to a $3.7 million settlement with a Germany-based software company regarding allegations that it violated the FCPA regarding the payment and offer of bribes to senior Panamanian government...more

California-Based Pharmaceutical Company Settles with SEC Regarding FCPA Offenses in China

On February 4, the SEC settled FCPA allegations with a California-based pharmaceutical company with a cease and desist order finding that the company violated the FCPA’s anti-bribery, books and records, and internal controls...more

Spud Webb and Corporate Culture

On this day 30 years ago, history was made when Spud Webb won the 3rd NBA Slam Dunk contest. Webb joined future Hall-of-Famers Michael Jordan, who won the inaugural contest in 1984, and Dominic Wilkins, who won the second...more

Financial Services Regulation - Exchange International Newsletter - Issue 28 - January 2016

DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-eighth edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of regulatory developments in...more

Your daily dose of financial news The Brief – 2.8.16

Friday’s jobs report was disappointing as compared to the month earlier, but it contained news of a half a percentage point increase in average hourly earnings that pleased some economists who have been worrying about...more

UK Financial Regulatory Developments - February 2016 #2

FCA writes to CEOs on CFD compliance - FCA has written a Dear CEO letter following its review of new client procedures for firms offering contracts for difference (CFD) products on a non-advised basis. FCA carried out...more

UK Financial Regulatory Developments - February 2016 #1

FMLC issues addendum to legal uncertainty for CCPs paper - FMLC and the US-based Committee on Capital Markets Regulation (CCMR) have issued an addendum to their comment paper on issues of legal uncertainty relating to...more

Your daily dose of financial news The Brief – 2.5.16

Jobs report Friday again. Here are the 5 Things the Journal told you to watch – WSJ (and NYTimes)... The Upshot’s not saying that a 2016 recession is inevitable, but if it does happen, this may be the path that takes us...more

Your daily dose of financial news The Brief – 2.4.16

Beware the toxic debt hangover, a nasty side effect of years of the aggressive stimulus policies governments and central banks around the world have engaged in to ramp up their economies. Trillions of dollars of bad loans,...more

FCPA Compliance and Ethics Report-Episode 230-What Are Data Analytics in Compliance, with Joe Oringel-Part 2 [Video]

In this second part of a two-part series I conclude my visit with Joe Oringel on the use of data analytics in a best practices compliance program. ...more

UK Financial Regulatory Developments - January 2016 #15

DWP issues guidance on pensions advice requirements - DWP has issued a factsheet for pension scheme providers on which pension benefits with a guaranteed annuity rate are safeguarded for the purpose of the new advice...more

US Loan Market Adapts to European Bail-In Directive

LSTA publishes model provisions for use in US law-governed credit agreements to assist in adopting new EU bail-in rules. European Economic Area (EEA) financial institutions are now subject to a new set of regulatory...more

Egypt Liberalises Electricity Market to Allow Private Sector Participation

In 2015, Egypt issued its unified Electricity Law no. (87), paving the way for market liberalisation of its power generation and distribution services. A few months on from its introduction, what are some of the key...more

UK Financial Regulatory Developments - January 2016 #13

FCA reinstates unfair contract terms library - FCA has reinstated its unfair contract terms library, which it has reorganised in the light of the Consumer Rights Act (CRA) and CMA guidance. FCA does not intend to publish...more

ESMA and South African and Mexican Authorities to Cooperate Under EMIR on CCPs

On 26 January 2016, ESMA announced that had entered into a memorandum of understanding (MoU) with each of the Mexican Comisión Nacional Bancaria y de Valores (CNBV) and the South African Financial Services Board (FSB) under...more

Your daily dose of financial news The Brief – 2.2.16

News has emerged from China that online finance company Ezubao, a purported peer-to-peer lender, was running a Ponzi scheme that “bilked investors out of more than $7.6 billion, spent lavishly on gifts and salaries and buried...more

European Supervisory Authorities Request Response from European Commissioner to Inconsistencies in Cross-Selling Legislation

On 26 January 2016, the Chairpersons of the European Supervisory Authorities (ESAs) (i.e. EBA, EIOPA and ESMA) sent a letter to the European Commissioner for the Directorate General Financial Stability, Financial Services and...more

FCPA Compliance and Ethics Report-Episode 229-What Are Data Analytics in Compliance, with Joe Oringel-Part 1 [Video]

In this first part of a two-part series, I visit with Joe Oringel on how a compliance professional can use data analysis in a best practices compliance program. ...more

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