Securities General Business Science, Computers & Technology

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Your daily dose of financial news - The Brief – 8.29.16

One of the big themes running through the Fed’s Jackson Hole conference that wrapped last weekend: whoa, there.  Just take it easy.  It’s time for legislatures to kick government spending into high gear—not for central...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 6 [Video]

In this 10-episode podcast series I take a look at all ten hallmarks of an effective compliance program as set out in the FCPA Guidance. In this episode I review Hallmark 6-Incentives and Disciplinary Measures....more

Key Metrics for Technology and Life Sciences Initial Public Offerings

This report has been developed as a resource for our clients and friends interested in understanding recent IPO activity of technology and life sciences companies. This information comprises a number of graphs and charts...more

Your daily dose of financial news - The Brief – 8.25.16

US regulators are “ramping up oversight” of Swift—the financial messaging system used throughout global finance that’s been a key conduit for hackers in recent attacks of Bangladeshi and Ecuadorian banks....more

Your daily dose of financial news - The Brief – 8.22.16

The SEC’s opened an inquiry into Hampton Creek in response to a Bloomberg report that the Just Mayo maker used undercover contractors to purchase its non-egg mayonnaise product in bulk not long before HC raised $90 million...more

This Week in FCPA-Episode 18, the Olympics edition [Video]

Show notes for week ending August 19, 2016: 1. Key Energy FCPA enforcement action. 2. More Och-Ziff FCPA news as its “Fixer” is arrested for FCPA violations. 3. EU’s to Olympic committee arrested and charged with ticket...more

FCPA Compliance Report-Episode 274, Scott Lane on an holistic approach to third party management [Video]

In this episode, I visit with Red Flag Group CEO Scott Lane on a holistic approach to third-party risk management....more

FCPA Compliance Report-Episode 273 [Video]

In this episode, I visit with Marc Bohn, Counsel at Miller & Chevalier on the recent 11th circuit opinion limiting the SOL on profit disgorgement claims to 5 years and the IRS tax letter holding payments for profit...more

EPA and NHTA Finalize Stringent Emission and Fuel Efficiency Standards

Yesterday, the U.S. Environmental Protection Agency (EPA) and the National Highway Traffic Safety Administration (NHTSA) finalized more stringent greenhouse gas (GHG) emission standards and fuel efficiency standards for...more

New York Appellate Court Reverse Lower Court, Allows RMBS Action to Proceed Against Morgan Stanley

On August 11, 2016, the First Department of the Appellate Division of the Supreme Court of the State of New York reversed the lower court, allowing RMBS Trustee U.S. Bank to proceed with claims against Morgan Stanley in...more

Your daily dose of financial news - The Brief – 8.17.16

Billionaire hedge-fund manager Steven Cohen (he, formerly of SAC Capital Advisors) has agreed to be barred from commodities trading until 2018 under the terms of a settlement announced by the CFTC yesterday....more

Compliance into the Weeds-Episode 12-risk in a decentralized business model [Video]

In this episode, Matt Kelly and I go deep into the compliance weeds in our discussion of operational, compliance and regulatory risks in a decentralized business model....more

Derivatives in Review - July 2016

An Overview of Proposed Regulation AT - Orrick attorneys authored an overview of Regulation Automated Trading (known as "Regulation AT") proposed by the Commodity Futures Trading Commission ("CFTC") in the May/June 2016...more

CFTC Considers Blockchain Technology

The disruptive effects of blockchain technology on the financial system may take several years to materialize. Nevertheless, in preparation, regulators are increasingly focused on understanding potential uses of blockchain...more

Unfair and Unbalanced-Episode 9, the US Open Edition [Video]

In this episode, Roy Snell and I continue our exploration of issues related to the compliance profession. ...more

New FERC NOPR Will Have Impacts on the Financial Trading Community

On Thursday, July 21, 2016, FERC issued a new Notice of Proposed Rulemaking on Data Collection and Surveillance, which is to replace the prior Connected Entities and MBR Ownership NOPRs. The new NOPR will apply to: (1)...more

TechConnect - Your Law Firm Link to Industry News - July 2016

Letter from the Editors - Dear Readers, One of the interesting facts that we have learned over the years is that there appears to be a correlation between the NASDAQ public market (which is heavily weighted with...more

FCPA Compliance and Ethics Report-Episode 270-Scott Lane on data and compliance [Video]

In this episode, I visit with Red Flag Group CEO, Scott Lane on the future of compliance programs and the use of data to have more effective best practices. ...more

Late-Stage Private Placements: A Life Sciences Sector Survey

As privately held companies choose to remain private longer and defer their initial public offerings (IPOs), these companies are increasingly reliant on raising capital in successive private placements. New categories of...more

Your daily dose of financial news - The Brief – 7.26.16

Private equity bigwig Lynn Tilton has reportedly hired appellate superstar Paul Clement (after Gibson Dunn got the boot) to represent her in her “bid to revive her challenge to the [SEC’s] in-house court at the Second...more

SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies

On June 27, the staff of the Securities and Exchange Commission’s (Commission or SEC) Division of Investment Management (IM) issued a Guidance Update on business continuity planning for registered investment companies...more

Shareholder Derivative Suit Following Data Breach Misses Target

On July 7, 2016, Judge Paul A. Magnuson of the United States District Court for the District of Minnesota granted Defendants’ Motions to Dismiss a shareholder class action that had been initiated following a 2013 holiday...more

Your daily dose of financial news - The Brief – 7.12.16

The SEC’s opened an investigation into Elon Musk’s Tesla Motors over whether the electric automaker breached securities laws by failing to disclose to investors the fatal crash involving one of its cars in self-driving mode...more

SEC Proposes New Requirement for Business Continuity Plans for Investment Advisers

On June 28, 2016, the Securities and Exchange Commission (“SEC”) proposed a rule that would require all SEC-registered investment advisers to adopt and implement a business continuity and transition plan (“BCP”). The BCP...more

SEC Proposes Rule Requiring Registered Advisers to Adopt Business Continuity and Transition Plans

On June 28, 2016, the Securities and Exchange Commission (SEC) proposed new Rule 206(4)-4 under the Investment Advisers Act of 1940 (Advisers Act) that would require registered investment advisers to adopt and implement...more

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