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CFTC Files Its First Anti-Fraud Enforcement Action Involving Bitcoin

The CFTC filed a federal civil enforcement action in the U.S. District Court for the Southern District of New York against Defendants Nicholas Gelfman, of Brooklyn, New York, and Gelfman Blueprint, Inc. (GBI), a New York...more

Day 15 of One Month of Innovation in Compliance-Structural Innovation

by Thomas Fox on

Innovation can come in various forms for an organization. Innovation can appear in a structural form. You can move compliance more deeply into your organization with new or different structures. One I have seen have success...more

Blog: SEC Hack Provides Occasion For Chair Clayton To Revitalize 2011 Corp Fin Disclosure Guidance On Cybersecurity Risks And...

by Cooley LLP on

As you probably read in the papers, SEC Chair Jay Clayton announced yesterday that, in 2016, the SEC’s EDGAR system was hacked and, in August 2017, the staff determined that the hack may have led to insider trading. The...more

SEC Chair Clayton’s Statement on Cybersecurity: EDGAR was Hacked

SEC Chairman Jay Clayton today issued an unusual statement highlighting the importance of cybersecurity to the agency and market participants, and detailing the agency’s approach to cybersecurity as an organization and as a...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

As expected, the Fed left interest rates at current levels yesterday, though it hinted at another December rate hike and officially unveiled the start of its bond wind-down next month....more

Everything Compliance-Episode 18, the Post Harvey Edition, Part II

by Thomas Fox on

The top compliance roundtable podcast is back with a wealth of new topics. 1. Matt Kelly considers the current state of the SEC and what he sees for changes by SEC Chairman Jay Clayton. 2. Mike Volkov opens with the...more

Day 14 of Innovation in Compliance-Putting Compliance at the Center of Business Strategy

by Thomas Fox on

Another innovation is to put your compliance program at the center of corporate strategy. An article in the Harvard Business Review (HBR) by Frank Cespedes, entitled “Putting Sales at the Center of Strategy”, discussed how to...more

Asset Management Regulatory Roundup - September 2017 - Issue 6

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on Brexit: Impact on cross-border financial services contracts; cryptocurrency: initial...more

Beijing-Based Cryptocurrency Trading Exchanges Told to Announce Trading Halt

by Perkins Coie on

Under the impact of the Chinese government’s recent formal notices of halting ICOs, Notice 99 and Joint Notice released on September 2, 2017 and September 4, 2017 respectively, Beijing authorities have taken further actions...more

Cryptocurrencies: Are They Securities?

Cryptocurrencies, including Bitcoin, have been in the news a lot lately, but many people still don’t know what they are—or whether they’re regulated.  Here’s a quick rundown....more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The Systemic Risk Council—a heady group of “former top financial regulators, regulators, policymakers and academics”—is warning that the rollback of Dodd-Frank and other financial regulators could lead to bank failures and...more

Day 10 Of Innovation in Compliance-Improvisation in Compliance

by Thomas Fox on

How can you change the perceptions around compliance in your organization? With the Justice Department requirement, set out in the Evaluation of Corporate Compliance Programs, to more fully operationalize your compliance...more

Compliance into the Weeds-Episode 54, Report from TEC 2017

by Thomas Fox on

In this episode, Matt Kelly returns to his journalism roots with a live report from TEC 2017, the Workiva user conference. We discuss some of the hot topics at the conference including possible repeal or modification of SOX...more

China Halts ICOs and Token Sales and China-Based Trading Platforms Suspend Trading Amid Reports of Additional Government...

by Perkins Coie on

The government of the People’s Republic of China (PRC) has formally announced a suspension to all ICOs and token offerings and financing activities by releasing two notices, namely, the Notice of Seven Ministries Including...more

A blockchain overview

by DLA Piper on

Blockchain and distributed ledger technology offers significant and scalable processing power, high accuracy rates, and apparently unbreakable security at a significantly reduced cost compared to the traditional systems the...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The Fed’s Open Markets Committee will wrap up meetings tomorrow, and it’s expected [markets be ready] to avoid a rate hike but reveal the beginning of a measured shrinking of the Fed’s $4.2 trillion mortgage/Treasury bond...more

Day 12 of One Month of Innovation in Compliance-Real Time v. Right Time Monitoring

by Thomas Fox on

If it is not clear already this month, innovation does not simply come from a technical or even service perspective but can improve your compliance program from a wide variety of perspectives. We have considered a variety of...more

Compliance Man Goes Global-Episode 1

by Thomas Fox on

I welcome you to a new series entitled Compliance Man Goes Global podcast of Compliance Report-International Edition. I am joined by Tim Khasanov-Batirov, a compliance practitioner who focuses on high risk markets for 17...more

FCPA Compliance Report-Episode 349-Eisinger and Pelletier on The Chickenshit Club

by Thomas Fox on

In this episode I visit with Jesse Eisinger, author of The Chickenshit Club and Paul Pelletier, one of his key sources. ...more

UK Regulator Examines Scope of Securities Laws, Warns of Initial Coin Offering Risks

by Jones Day on

The Situation: The UK Financial Conduct Authority has released a statement on initial coin offerings. It focuses the circumstances in which an ICO might fall within the scope of the FCA's current regulatory boundaries as well...more

In Case You Missed It: Launch Links - September, 2017 #2

by WilmerHale on

Some interesting links we found across the web this week: How Pro Rata Works in Venture Capital Deals - VC’s suffer from FOMO just like the rest of us. ...more

Day 11 of One Month of Innovation in Compliance-OODA Feedback Loop

by Thomas Fox on

Alistair Croll draws on military theory to illustrate his concept of a feedback loop. It is the OODA loop, which stands for observe, orient, decide and act. This comes from military strategist John Boyd who realized that...more

Fintech Alert: Will Delaware or California Adjudicate a $1 Billion Commercial Contract Dispute Related to a Cryptocurrency?

by Blank Rome LLP on

Corporate Litigation - Action Item: As Jamie Dimon, the CEO at J.P. Morgan Chase, continues to criticize Bitcoin as a fraud, and the Securities and Exchange Commission warns of the potential dangers of investing in initial...more

Global Privacy & Cybersecurity Update Vol. 15

by Jones Day on

UNITED STATES - Regulatory—Policy, Best Practices, and Standards - FTC Comments on Improvements to IoT Device Security - On June 19, the Federal Trade Commission ("FTC") submitted comments to a working group organized by the...more

This Week in FCPA-Episode 68, for the week ending September 15, the Ugly Win Edition

by Thomas Fox on

1. Equifax continues to be in the news. 2. Julie DiMauro interviews Philip Urofsky on the US commitment to enforcing the FCPA. 3. A new scorecard is out on the amounts of money paid as bribes by the Brazilian construction...more

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