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Day 11 of One Month to More Effective Continuous Improvement-the Desktop Risk Assessment

by Thomas Fox on

Another mechanism to facilitate continuous improve comes from ideas around risk assessments. Both the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) make clear the need for a risk assessment to...more

Leadership Lessons from Dunkirk

by Thomas Fox on

In this episode Richard Lummis and I consider the movie Dunkirk and the leadership lessons which can be drawn from the movie and historical events. If you have not seen it, I would suggest you go to see what I believe is the...more

FAQs about the FINRA Communication Rules

Understanding Financial Industry Regulatory Authority, Inc. Rule 2210, Communications with the Public - What is Rule 2210, and what does it require? - Rule 2210 governs three categories of “communications” by FINRA member...more

Announcement Clarifies Regulatory Position on Digital Token Offerings in Singapore

by Jones Day on

In the wake of a recent increase in the number of initial coin (or token) offerings ("ICOs") in Singapore as a means of raising funds, as well as announcements from other concerned regulators, including in the United States,...more

Blockchain's Steady March to Legitimacy

by White & Case LLP on

Four separate events during the second half of July signal that virtual currency and blockchain are steadily becoming part of mainstream financial services. The interconnected histories of Bitcoin (the most common virtual...more

Patching Up Your Information Security Review

by Morgan Lewis on

In light of recent significant ransomware cyberattacks such as the one that originated in Ukraine and quickly spread to affect hundreds of thousands of computers in more than 150 countries, we wanted to provide a few pointers...more

Delaware Blockchain Law Goes into Effect

by Morgan Lewis on

On August 1, 2017, Delaware’s historic blockchain law became effective. The Delaware General Corporation Law (DGCL) has always required corporations to keep records of their stock and stockholders. Before this new law was...more

Corporate Law & Governance Update - August 2017

by McDermott Will & Emery on

A new article published in the Harvard Business Review confirms that the preservation of reputation continues to be a significant motivating concern for individual board members. This is a factor that should be taken...more

Day 10 of One Month to More Effective Continuous Improvement-Controls Testing

by Thomas Fox on

Continuous improvement requires that you not only audit and monitor but also that you test your controls. In addition to the language set out in the 2012 FCPA Guidance, two of the seven compliance elements in the US...more

FCPA Compliance Report-Episode 345-Mike Volkov on Linde Gas and CDM Smith declinations

by Thomas Fox on

In this episode Mike Volkov and I discuss the two official pronouncements from the Sessions’ Justice Department regarding FCPA enforcement. They were both declinations used under the FCPA Pilot Program, which was announced in...more

And So It Begins: The First DFS Transition Period Comes to an End August 28

by King & Spalding on

In September 2016, the New York Department of Financial Services (“DFS”) introduced the first draft of its cybersecurity regulation, which is now in a position to lead a new trend in industry-specific cybersecurity...more

OCIE Publishes Risk Alert Summarizing Observations from Recent Cybersecurity Examinations

by Bryan Cave on

On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert summarizing its observations from cybersecurity preparedness examinations conducted of 75 broker-dealers, investment...more

Day 9 of One Month to More Effective Continuous Improvement-the Fraud Audit

by Thomas Fox on

Today I consider a fraud audit by using data analytics to help detect or prevent bribery and corruption where the primary sales force used by a company are its FCPA and Chinese domestic law, involved China based employees...more

Day 8 of One Month to More Effective Continuous Improvement-the Culture Audit

by Thomas Fox on

What is organizational culture? Eric Feldman, SVP at Affiliated Monitors has said it comprises the mission, vision and values of an organization. A similar way to consider it might be as a company’s values, visions, norms and...more

Q2 Earnings Round-Up

by Goodwin on

Below are some highlights from second quarter earnings reports recently released by biologics and biosimilar companies. ..Coherus reported that it has cash and cash equivalents of $118.3 million as of June 30, 2017 and...more

Compliance into the Weeds-Episode 49, Mattis Memo on Ethics

by Thomas Fox on

In this episode, Matt Kelly and I take a deep dive into the weeds on a Memo issued by Secretary of Defense James Mattis last week. It deals specifically with ethical conduct within the DOD and US military. It is one of the...more

Day 7 of One Month to More Effective Continuous Improvement-the Supply Chain Audit

by Thomas Fox on

In my last corporate position, my company was at the cutting edge because we required compliance related audits for vendors in the supply chain. This was cutting edge in 2007-08. However, now an audit for adherence to...more

SEC Issues Guidance on Initial Coin Offerings and Digital Assets

by Holland & Knight LLP on

The U.S. Securities and Exchange Commission (SEC) on July 25, 2017, issued a "Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: The DAO," weighing in on what are known as Initial Coin...more

Momenta Reports on their Biosimilar Pipeline

by Goodwin on

In its Q2 2017 Earnings Call last week, Momenta reported that it continues to work towards a first submission for approval of its wholly owned HUMIRA biosimilar, M923, with a possible commercial launch by 2020. Momenta also...more

A “palliative” approach to insolvency in the retail world?

by Morrison & Foerster LLP on

The retail sector is in the midst of a deeply disruptive shift as online shopping increasingly puts its long-term future in peril. Howard Morris, head of the business restructuring and insolvency group at Morrison & Foerster...more

Initial coin offerings – something new under the regulatory sun?

by DLA Piper on

FinTech Regulation - In our financial services updates at the beginning of the year (see here), we outlined a few regulatory pointers for FinTech coming out of a speech by the Chair of the Financial Stability Board (FSB)....more

Day 6 of One Month to More Effective Continuous Improvement-Data Analytics and the Monitoring of Third Parties

by Thomas Fox on

Next I consider at how data analytics can be used for continuous improvement where the primary sales force used by a company is third parties. A clear majority of Foreign Corrupt Practices Act (FCPA) violations and related...more

SEC Confirms Certain ICOs Are Securities Offerings; Regulators Renew Focus on Cryptocurrencies

by WilmerHale on

What Is an ICO? An ICO, or initial coin offering, is the sale of virtual coins or tokens, often as a means of capital raising by startup companies that are involved in blockchain technology. Depending on the terms of the...more

In Case You Missed It: Launch Links - July, 2017 #5

by WilmerHale on

Some interesting links we found across the web this week: How to Successfully Go About Acquiring Another Startup - Sometimes your startup can achieve goals quicker through an acquisition. ...more

Day 5 of One Month to More Effective Continuous Improvement-Auditing of Third Parties

by Thomas Fox on

Third parties still present the highest risk around FCPA compliance. It is therefore critical that you use monitoring and auditing when it comes to continuous improvement for this high-risk area. Today I want to consider...more

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