International Trade Science, Computers & Technology Securities

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Your daily dose of financial news - The Brief – 6.23.16

It was House day for Chair Yellen on the Hill, and if you guessed that in this election year her final appearance before this Congress was more about her questioners scoring political points than it was anything related to...more

Your daily dose of financial news - The Brief – 6.22.16

Elon Musk is curing what ails SolarCity by having his Tesla motors company buy it—a move he’s called “obvious” [though others disagree] but which will leave him personally exposed to margin calls if the stock price for the...more

Your daily dose of financial news - The Brief – 6.20.16

Here’s a sign of the times, or at least, the changing tenor of banking in America. After years of exclusivity that saw it refusing customers with less than $10 million on hand, Goldman Sachs is opening itself up to common...more

This Week in FCPA-Episod 9 [Video]

In this episode Jay Rosen and I discuss the FCPA related events for the week of June 17. We talk about the Biomet DPA extension, the Rincon FCPA guilty plea, open FCPA investigations in China and the recently concluded ACFE...more

Your daily dose of financial news - The Brief – 6.13.16

Hedge fund managers—not that long ago the titans of Wall Street, thanks in part to their “2 and 20 model” that saw them receiving fees of 2% of assets under management and 20% of any gain in any year—are reeling from the loss...more

European Securities and Markets Authority Seeks Views on Distributed Ledger Technology

The European Securities and Markets Authority published a discussion paper on how distributed ledger technology (including, for example, "blockchains") applies to the securities markets. ESMA is assessing the risks posed by...more

CFTC Fines Bitfinex For Failing To Register and Operating An Illegal Exchange

The U.S. Commodity Futures Trading Commission (CFTC), showing continued regulatory interest in digital currency companies, issued an Order and settled charges against Hong Kong-based digital currency exchange Bitfinex. The...more

FCPA Compliance and Ethics Report-Episode 258-using data, data analytics and data analysis in your compliance programs [Video]

In this episode, I consider how a CCO can use data in a best practices compliance program. ...more

European Union: ESMA Blockchain Regulation

On June 2, 2016, the European Securities and Markets Authority (ESMA) issued a discussion paper seeking feedback from Fintech companies and financial institutions on the possible use of blockchain technology in securities...more

Blog: ESMA Publishes Discussion Paper On Distributed Ledger Technology In The Securities Markets

The European Securities and Markets Authority (ESMA) has published a Discussion Paper on “The Distributed Ledger Technology Applied to Securities Markets“....more

Can Fintech Startups Carry Out Crowd-Funding in Hong Kong?

What is crowd-funding? “Crowd-funding” is an umbrella term describing the use of small amounts of money, obtained from a large number of individuals or organisations, to fund a project, a business or personal loan, and...more

Your daily dose of financial news The Brief – 6.1.16

All of us are entitled to a change of heart. But when you’re one of the world’s most famous activist investors and the change involves a decent-sized stake in a drug maker (Allergan) that just 5 months ago was mixed up with a...more

In Case You Missed It: Launch Links - May 2016 #4

Some interesting links we found across the web this week: - Funding for Venture Capital-Backed Fintech Startups is Poised to Hit a Record in 2016 - Some perceive fintech to be defying gravity in a down market, and...more

Your daily dose of financial news The Brief – 5.27.16

New evidence uncovered by the digital security firm Symantec suggests that the recent series of Swift-based bank hacks may be linked to North Korea in what “appears to be the first known case of a nation using digital attacks...more

Compliance into the Weeds-Episode 7-meta data for your dashboard [Video]

In this episode Matt Kelly and I take a deep dive into the meta data on the types of information a CCO needs to feed into a compliance dashboard. Go from asking, “What do I want to know about?”; to asking, “What types of...more

UK Financial Regulatory Developments - May 2016 #13

Pensions guidance rules come into force - The second commencement order under the Bank of England and Financial Services Act 2016 brings into force from 13 May the provisions on pensions guidance, which extend the...more

The SEC, CCOs and Compliance Programs

Compliance programs, Chief Compliance Officers and liability have been the subject of a great deal of debate in recent months. Members of the Commission, for example, debated charging decisions regarding CCOs last year in...more

UK Financial Regulatory Developments - May 2016 #11

The Law Society responds to ESMA’s EU MAR consultation - The Law Society has published the Law Society and City of London Law Society Company Law Committees Joint Market Abuse Working Party’s response to ESMA’s...more

FCPA Compliance and Ethics Report-Episode 254 use of social media in a best practices compliance program [Video]

In this episode I consider how to use the tools of social media in a compliance program. I discuss how CCO Louis Sapirman at Dun and Bradstreet has incorporated the tools of social media into his company's compliance efforts....more

UK Government Announces Steps to Support UK FinTech Growth

The Economic Secretary to the UK Treasury, Harriett Baldwin, gave a speech at the 2016 Innovate Finance Global Summit in London. The Economic Secretary announced certain policies that the UK Government had adopted to support...more

Novartis Agrees to Settle Bribery Charges Against Chinese Subsidiaries for $25 Million

On March 23, 2015, Swiss-based pharmaceutical company Novartis AG (“Novartis”) reached a civil settlement with the United States Securities and Exchange Commission (“SEC”) for violating the internal controls and books and...more

Apple’s Conflict Minerals Smelters Nearly 100% Audited

Apple has filed its Form SD for the year ended December 31, 2015. It includes this disclosure: The combination of training, public reporting and a ticking clock drove the number from 82 smelters and refiners...more

Logos Seeks Accredited Investors In Bitcoin Fund

On February 26, 2016, Logos Capital Fund, LLP (“Logos”) filed with the Securities and Exchange Commission (“SEC”) a Form D Notice of Exempt Offering of Securities. As its Form D indicates, Logos is soliciting investments of...more

Novartis Coughs Up $25 Million to SEC for China FCPA Violations

Last week, the SEC announced another FCPA settlement involving the pharmaceutical industry for bribery in China. The SEC’s settlement filing represents yet another example of the pharmaceutical industry run amok in China,...more

EU Commission Adopts Delegated Regulation on Abusive Practices and Suspicious Orders and Transactions Under MAR

On March 9, the European Commission adopted a delegated Regulation (and an accompanying Annex) in relation to the EU Market Abuse Regulation (MAR). The delegated Regulation sets out arrangements, systems and procedures and...more

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