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This Week in FCPA-Episode 31, the Government Speaks edition [Video]

Show Notes for Episode 31, week ending December 2, 2016-the Government Speaks edition 1. Justice Department Assistant Attorney General Sally Yates remarks at 33rd annual ACI National FCPA Conference; 2. Head of SEC...more

Blog: SEC posts report to Congress on Modernization and Simplification of Regulation S-K

The SEC has posted the staff’s Report on Modernization and Simplification of Regulation S-K, a report to Congress required by the FAST Act. Although required by the FAST Act, this report builds on and reflects the review that...more

FINRA Fines Lincoln Financial Sub $650,000 For Cybersecurity Shortcomings

A Lincoln Financial Group subsidiary agreed to pay $650,000 to the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it failed to implement sufficient security policies to protect confidential...more

DFS Cyber Regulation: Part II – An Interview with Bay Dynamics’ Steven Grossman

This is the second installment in our interview with Steven Grossman, VP Strategy & Enablement at Bay Dynamics, the cyber risk analytics company. Here, Steven discusses the importance of aligning an institution’s risk...more

Blog: Corp Fin Posts New CDI Related To Integration Under Reg D

More CDIs from the Corp Fin, one of which, described below, relates to integration under Reg D. There are also three new CDIs relating to Reg A, new 182.12, new 182.13 and new 182.14. Securities Act Rules — Reg D...more

Entering the Sandbox - Guidelines released for FinTech entrepreneurs and entities

Guidelines on entering the Sandbox - On 16 November 2016 the Monetary Authority of Singapore (MAS) released its “regulatory sandbox” (Sandbox) guidelines for FinTech experiments to be conducted in a controlled...more

Compliance into the Weeds-Episode 19-SEC and Dodd-Frank enforcement going forward [Video]

In this episode, Matt Kelly and I take a deep dive into a couple of issues surrounding the new Trump administration. The first is the 'Trump Risk' disclosure that several companies have made since the election. The second is...more

Cyber Regulation Demands Board Accountability: Part 2 in a 3-Part Series

This is our second installment in a three-part series examining the New York State Department of Financial Services (“DFS”) new cybersecurity regulation. In this installment, we provide an overview of the regulation’s impact...more

SEC Hosts Panel Discussion on Online Marketplace Lending and Crowdfunding in First Ever SEC Fintech Forum

On November 14, 2016, the SEC hosted a panel discussion entitled the “Impact of Recent Innovation in Capital Formation,” as part of its public forum on financial technology (Fintech) innovation held in Washington, D.C., and...more

Silicon Valley Venture Capital Survey - Third Quarter 2016

We analyzed the terms of 149 venture financings closed in the third quarter of 2016 by companies headquartered in Silicon Valley. Overview of Results - The weakening in venture valuations that began in the second...more

Fintech: Review of Regulatory Regime to attract VC Managers to Singapore

Deputy Prime Minister and Monetary Authority of Singapore (MAS) Chairman Tharman Shanmugaratnam announces review of the regulatory regime for venture capital managers....more

Myanmar’s Yangon Stock Exchange to Establish Blockchain-based Stock Exchange

Daiwa Securities Group, a Tokyo-based securities brokerage, will be working with Myanmar’s Yangon Stock Exchange (YSX) to establish a Blockchain-based stock exchange by integrating Daiwa’s equity trading into the Yangon...more

Unfair and Unbalanced-Episode 12 SCCE 2016 CEI, Part II [Video]

In this second part of a two-podcast series, taped live at SCCE’s 15th Annual Compliance & Ethics Institute, Roy and myself get a chance to interact with a live audience and bounce from topic to topic, discussing: 1. A...more

2016's Thriving M&A Market

Despite concerns expressed during our presidential campaign season over the loss of US jobs to international trade, investment in the US by foreign commercial enterprises remains strong, especially given the weak or weakened...more

SEC Announces Agenda, Panelists for Nov. 14 Fintech Forum

On November 3, 2016, the SEC announced the agenda and the panelists for its first ever fintech forum on November 14th. As noted in the announcement, the session, which will begin at 9 a.m. ET, will be divided into four...more

Coins Series A Financing Opens Bitcoin to Underserved Global Community

A Philippines bitcoin startup, Coins, recently announced a $5 million investment from global investors, to help it expand its reach to underbanked communities in Southeast Asia. The Series A round is a big shot in the arm to...more

FFIEC Releases Answers To FAQs About Cybersecurity Assessment Tool

On October 17, 2016, the Federal Financial Institutions Examination Council (“FFIEC” or the “Council”) released a set of answers to frequently asked questions about its cybersecurity assessment tool (the “CAT”). The FFIEC, an...more

Cyber in the Board Room: Balancing Risk and Oversight

Boards of directors remain increasingly exposed to the threat of liability arising from data breaches and other cyber-incidents. Nearly a year ago, Senators Jack Reed and Susan Collins introduced the Cybersecurity...more

Compliance into the Weeds-Episode 16-SOX reporting & disclosure controls and COSO Framework unity [Video]

In this episode, Matt Kelly and I discuss the differences between SOX 404 reporting controls and 302 disclosure controls. We then pivot to a discussion of the potential merging of the COSO 2013 Framework for controls with the...more

In Case You Missed It: Launch Links - October, 2016 #3

Some interesting links we found across the web this week: The first 100 days of your startup: From registering a name to funding options - How to start a startup: Advice from startup founders - Techworld talks...more

This Week in FCPA-Episode 27, the Walla Walla Edition [Video]

Show Notes for Episode 27, week ending October 21, 2016-the Walla Walla Edition 1. Lennox Industries self-reports a $425 bribe; 2. Another guilty plea in FIFA corruption scanda; 3. Public Citizen letter to DOJ/SEC re:...more

Fintech in Hong Kong: Where There’s a Will, There’s a Way, or Hong Kong’s Measures To Become the Fintech Capital of Asia

Hong Kong is putting substantial focus on financial technology, or fintech, to compete with Singapore and Tokyo as the fintech capital of Asia. In April 2015, the Hong Kong Government (the “Government”) established the...more

September 2016 IPO Market Review

The IPO market produced 14 IPOs in September, representing the second highest monthly figure for 2016 and only one behind May’s tally of 15 IPOs. The month’s total represents the third-busiest September since 2000, trailing...more

FCPA Compliance Report-Episode 286-Use of Technology in Supply Chain Risk Management [Video]

Software platforms can provide a lot of efficiencies such as a reduction of time, resources and a more manageable audit trail. Still, software cannot do everything. Subject matter expertise is still essential to building a...more

Bitcoin: Cybersecurity Regulations on the Horizon?

As legislators grapple with creating legislation intended to bring virtual currencies, such as bitcoin, within the scope of anti-money laundering regulations, the vulnerability of Bitcoin exchanges to theft and other cyber...more

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