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This Week in FCPA-Episode 40- the Worse than Useless edition [Video]

Just out the week's top compliance and ethics stories on This Week in FCPA. ...more

Insurance Industry Exploration of Blockchain Expands

The insurance industry’s exploration of blockchain-based solutions continues to expand, potentially impacting future policies available to commercial policyholders. The Blockchain Insurance Industry Initiative (B3i), an...more

Your Daily Dose of Financial News

Acting SEC Chair Michael Piwowar has reportedly scaled back some of the agency’s enforcement staff’s use of delegated authority by funneling all subpoena issuance and probe initiation through the SEC’s director of...more

Rollback of SEC Regulations Promulgated Under Dodd-Frank Has Begun

In several uncoordinated actions, the dismantling of Securities and Exchange Commission (SEC) regulations promulgated under The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank) has begun. In two...more

The Digital Content Market in Mexico

Today’s global content market is constantly evolving. The rise of digital platforms has created new and exciting opportunities for production, distribution, and consumption of content. Producers and distributors are meeting...more

Day 12 of One Month to a Better Board-What Leads to a Successful Board Investigation [Video]

What are metrics for a Board around compliance? Former Assistant Attorney General Leslie Caldwell laid out some that the Justice Department would consider in a review of compliance programs. These metrics are: ¥ Does the...more

Arby’s Investigating Payment Card Breach

Arby’s has announced that it is investigating its payment card systems after Brian Krebs first reported the incident. According to reports, malware placed on Arby restaurants’ payment card systems allowed attackers to...more

Everything Compliance-Episode 7 [Video]

This episode is dedicated to the chaotic (at best) first three weeks of the Trump administration. Jonathan Armstrong leads a discussion of the Trump administrations devolution towards Privacy Shield and what it may portend...more

Compliance into the Weeds-Episode 28 [Video]

In this episode, Matt Kelly and I take a deep dive into the new Microsoft security analysis tool, Secure Score which will rate a company’s IT and data security protocols. We use his blog post on the topic, “Microsoft...more

Corporate Investigations and White Collar Defense - February 2017

When Regulatory Failings Turn Criminal: Car Edition Redux - Why it matters: To paraphrase the famous quote from the film “All About Eve”: Fasten your seatbelts, it’s going to be a bumpy car ride. In the first part of...more

Cybersecurity and Data Privacy: Bond Public Comments on Department of Financial Services Proposed Cybersecurity Regulations Seek...

On September 13, 2016, the New York State Department of Financial Services (DFS) issued proposed cybersecurity regulations (Proposed Regulations) that would impose significant new obligations on all organizations covered by...more

Day 11 of One Month to a Better Board-What Leads to a Successful Board Investigation [Video]

What are seven factors which can lead to a successful investigation commissioned and led by a Board of Directors. In this episode, I discuss an article in the Corporate Board magazine, entitled “Successful Board...more

Your Daily Dose of Financial News

We’ve talked a fair amount about the switch to chip & pin card systems over the past few years. But how about a lack of cards altogether? Because that’s what the banks have in mind....more

Part 2 - ASEAN Capital Markets: A Round-Up of Developments in 2016

2016 was a somewhat muted year for the world’s capital markets and this story was mirrored across ASEAN. Spread across two client alerts we take a brief look at the capital markets of each of the ASEAN members, how they fared...more

Day 10 of One Month to a Better Board-What is Your Board's Investigation Protocol [Video]

Many companies have an investigation protocol in place when a potential Foreign Corruption Practices Act (FCPA) or other legal issue arises? However, many Boards of Directors do not have the same rigor when it comes to an...more

Identity Theft and Credit Card Fraud Highest Ever in 2016

A study released by Javelin Strategy & Research has concluded that the number of identity fraud cases in 2016 rose 16% from 2015, costing victims $16 billion in losses. This includes both identity theft and credit card fraud....more

Day 9 of One Month to a Better Board-Board Governance and Risk [Video]

One of the ongoing questions from members of Board of Directors is how to resolve the tension between oversight and managing. I recently had the opportunity to visit with Joe Howell, the Executive Vice President (EVP) of...more

Compliance into the Weeds-Episode 27-Greek Gods, Data Hacks and MLB [Video]

In this episode, Matt Kelly and I consider the data hacking of the Houston Astros by an executive of the St. Louis Cardinals. We mine the story for not only compliance lessons but also data protection reminders and throw in...more

This Week in FCPA-Episode 39-the Super Bowl LI edition [Video]

In this episode, Jay Rosen and I review the recent Super Bowl LI from the compliance perspective; mining the Patriots 'for the ages' comeback and the Atlanta collapse for lessons for the compliance practitioner....more

Is breach mitigation the next wave of cybersecurity regulation?

More and more, regulators are focusing their rulemaking power not just on how a company responds (or doesn’t respond) to a data breach, but the steps it took far in advance to prevent or mitigate such a breach. Two...more

PLI 22nd Annual Consumer Financial Services Institute – 25 Percent Discount Available

We are pleased to invite you to the 22nd Annual Consumer Financial Services Institute, sponsored by the Practising Law Institute, March 27-28, 2017, in New York City (and by live webcast and groupcast in Atlanta and...more

U.S. CFTC Enforcement Considerations for 2017

Change is in the air and the political landscape may significantly affect the U.S. Commodity Futures Trading Commission’s enforcement agenda. Last month, Commissioner J. Christopher Giancarlo rose to the position of Acting...more

Day 8 of One Month to a Better Board-Board of Directors Compliance Oversight - An Internal Control Under SOX [Video]

James Doty, Acting Commissioner of the Public Company Accounting Oversight Board (PCAOB) was once asked if the Board or its sub-committee which handles audits was a part of a company’s internal financial controls. He answered...more

Day 7 of One Month to a Better Board-the Board's Role with Internal Controls [Video]

What is the Board's role with the internal controls a company need to institute? Each company defines its internal controls to fit its business by determining what the Company wishes to protect and what type of control...more

The Blockchain revolution: An analysis of regulation and technology related to Distributed Ledger Technologies

Blockchain is on the verge of revolutionizing how we interact in the digital world. It has far reaching applications from the Financial industry to many other sectors of the economy. The question is what is Blockchain, what...more

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