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This Week in FCPA-Epiode 24, the SCCE Edition [Video]

Show Notes for Episode 24, week ending September 30, 2016-the SCCE Edition 1. Misonix discloses possible FCPA violations, 2. The Anheuser-Busch InBev SEC FCPA enforcement action, 3. Och-Ziff SEC FCPA enforcement...more

Your daily dose of financial news - The Brief – 9.30.16

NY hedge fund Och-Ziff has agreed to pay a $413 million fine as part of a deferred-prosecution agreement with US regulators over allegations that it was involved in the payment of more than $100 million in bribes to African...more

SEC to hold fintech innovation public forum

The Securities and Exchange Commission has announced that it will host a public forum in Washington, D.C. on November 14, 2016 to discuss financial technology innovation in the financial services industry. The forum is...more

No Longer a Mirage: FCPA Compliance and Cooperation Has Its Benefits

On September 12, 2016, the SEC announced that it had reached a settlement with Jun Ping Zhang (“Ping”), a former executive of a Chinese subsidiary of Harris Corporation (“Harris”), regarding alleged violations of the Foreign...more

Tighter connections between the Bay Area and Israel will encourage investment flows

Silicon Valley trends are often soon felt in its Israel equivalent Silicon Wadi. The two start-up ecosystems are intrinsically linked. In April this year, the connection between the two regions was further tightened when...more

FCPA Compliance Report-Episode 281-SCCE CEI Wrap-up, Part I [Video]

In this episode, I sit down with 4 top compliance commentators to discuss the SCCE 2016 Compliance and Ethics Institute conference. The panelists include Jay Rosen, Jonathan Armstrong, Mike Volkov, Matt Kelly and myself. We...more

ZAG-S&W Represents Nano Dimension Ltd in U.S. NASDAQ ADS Public Offering

A ZAG-S&W Team announced that it represented Nano Dimension Ltd, a leader in the field of 3D Printed Electronics (NASDAQ, TASE: NNDM), in its public offering of 1,850,000 American Depositary Shares (ADSs) at a price of $6.50...more

First Ever SEC Fintech Forum

On September 27th, 2016, the SEC announced it will host a public forum to discuss financial technology (Fintech) innovation in the financial services industry. The press release notes that the forum is designed to foster...more

Your daily dose of financial news - The Brief – 9.28.16

It wasn’t exactly a direct reaction to his testimony on the Hill, but Wells Fargo CEO John Stumpf didn’t do himself any favors there, and Wells Fargo’s Board has announced that it will claw back an estimated $41 million in...more

Blockchain and Public Securities: Shedding Light on 'Going Dark'

The application of blockchain technology to the securities market could prove to be a game changer by adding transparency, reducing costs and speeding up settlements. Initially known as the technology underlying the...more

Former SEC Commissioner Louis A. Aguilar Describes Corporate Directors' Cybersecurity Duties

When Louis A. Aguilar was a commissioner at the Securities and Exchange Commission, he helped organize the SEC’s March 2014 roundtable to discuss the cyber risks facing public companies. The numerous data breaches that have...more

Your daily dose of financial news - The Brief – 9.23.16

Well, see, Yahoo just doesn’t have enough on its plate these days. So why not the revelation that hackers stole data on 500 million users in 2014? The hack—thought to be a state-sponsored affair—is likely the biggest data...more

This Week in FCPA-Epiode 23, the Wells Fargo edition [Video]

In this week's episode, Jay Rosen and I discuss the following: Show notes for this week’s edition: 1. Tom's week long series on Well’s Fargo scandal. 2. Christina Muehl’s two part series on Corruption, Crime and...more

SDNY Awards Front Pay in Sarbanes-Oxley Whistleblower Retaliation Case

Perez v. Progenics Pharmaceuticals, Inc., involved a case where Plaintiff Perez drafted a memo to Progenics’ general counsel and his department head, accusing Progenics of committing fraud by publishing a false press release...more

Your daily dose of financial news - The Brief – 9.21.16

Testifying before the Senate Banking Committee yesterday, Wells Fargo CEO John Stumpf admitted that the illegal sham-account-creation activity at the heart of its recent SEC fine may have begun earlier than first reported....more

Compliance into the Weeds-Episode 14-Wells Fargo and the Fraud Triangle [Video]

In this episode, Matt Kelly and I take a look at the Wells Fargo scandal through the lens of the fraud triangle. ...more

Your daily dose of financial news - The Brief – 9.20.16

The hits just keep on coming for Wells Fargo, who now is facing questions about its failure to prime the market for news of its $185 million SEC settlement earlier this month. The main concern with that tack is that Wells...more

FCPA Compliance Report-Episode 279-Adam Turteltaub on the SCCE 2016 Compliance and Ethics Institute [Video]

In this episode I visit with Adam Turteltaub about the upcoming SCCE 2016 Compliance and Ethics Institute. ...more

This Week in FCPA-Epiode 22, the Jimmy Garappolo edition [Video]

In this episode Jay Rosen and I discuss: 1. Harris Corp, China-business unit head settles FCPA matter, for the SEC Cease and Desist Order; 2. Wells Fargo fraudulent accounts scandal; 3. Telia reports $1.4bn demand to...more

Your daily dose of financial news - The Brief – 9.15.16

The Committee on Capital Markets Regulation—a nonprofit that represents execs from many of the US’s largest banks—will release a paper today arguing that the Fed illegally sidestepped the APA by adopting “central parts of its...more

Your daily dose of financial news - The Brief – 9.13.16

In a closely watched and dissected speech yesterday, Federal Reserve governor Lael Brainard told the crowd gathered at the Chicago Council on Global Affairs that she favored “prudence” in raising rates despite recent signs of...more

Your daily dose of financial news - The Brief – 9.12.16

The past 2 years have been just short of disastrous for most hedge funds. But even without much to show in the form of results, the world’s biggest fund manager—Bridgewater Associates—has attracted $22.5 billion in investor...more

Blog: BDO Analysis Of Tech Industry Risk Factors Shows Increased Impact Of Cybersecurity And M&A Concerns

An analysis by audit firm BDO of the incidence of disclosure of various risk factors among tech companies over five years reflects increased emphasis on security breaches, the impact of M&A (including goodwill impairment) and...more

SEC Proposes Rule Amendments to Require Issuers to Include Hyperlinks to Exhibits in Filings

On August 31, 2016, the Securities and Exchange Commission (SEC) proposed amendments to its forms and rules that would require issuers that file registration statements and periodic and current reports, which include exhibits...more

FCPA Compliance and Ethics Report-Episode 276-Regulator Evolution [Video]

In this episode Red Flag Group CEO Scott Lane and I discuss how regulators thinking on best practices compliance programs has evolved. ...more

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