Securities Communications & Media

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Your Daily Dose of Financial News

The emissions cheating scandal that recently cost VW $4.3 billion and a mess of criminal indictments isn’t, it seems, confined to the Germans. We heard months ago about a similar probe into Mitsubishi, and yesterday we...more

Your Daily Dose of Financial News

The Depository Trust & Clearing Corporation—the company that “serves as the back end for much Wall Street trading”—has announced a big step forward in the embrace of blockchain technology to track and report transactions. IBM...more

Your Daily Dose of Financial News

The December 22 announcement that Deutsche Bank had settled with the DOJ over long-standing RMBS-related claims and investigations for a reported $7.2 billion prompted this Times long-read that traced the Icarus-like rise and...more

Day 1 of 30 Days to a Better Compliance Program, Tones in an Organization [Video]

Welcome to Day 1 of 30 days to a better compliance program. Together with a podcast each day, I will be giving you tips to help you create a best practices compliance program in 2017. At the end of January, you will not only...more

The Evolution of Real Estate Crowdfunding — Some Links

Real estate crowdfunding remains one of “fin-tech’s” hottest stories in 2016. While crowdfunding remains a tiny percentage of overall real estate debt or equity deals, the share continues to grow....more

Boston Brewpub Hopsters Raises Fastest Reg CF Crowdfunding Ever

A brew pub—Hopsters Brewery—has raised more than $600,000 in what industry insiders are calling the "fastest crowdfund offering ever." The Boston-area brew pub and eatery used the WeFunders platform to raise funds in...more

Financial Services Weekly News - November 2016 #4

Editor's Note - Potential CFPB Reform in the Wake of the Election. The November 16 edition of the Roundup indicated that the Financial CHOICE Act (Act) may be a blueprint for legal changes affecting the financial...more

Your Daily Dose of Financial News

Big American companies are awfully eager to keep the China market alive. For Disney, that means dropping $1.4 billion on a Hong Kong Disneyland upgrade. For Facebook, it means a CEO who’s picked up Mandarin and a...more

Minnesota’s First Crowdfunding Portal Approved, But The Question Remains: Will Anyone Actually Use It?

On November 9, 2016, the Minnesota Department of Commerce approved the first crowdfunding portal operator, VentureNear.com, under the crowdfunding legislation known as MNvest. As soon as the portal is populated with...more

Your Daily Dose of Financial News

The saga of Theranos whistleblower Tyler Shultz, grandson of former Secretary of State (and Theranos director) George Shultz, who faced threats, a familial rift, and a boat-load of legal fees as he tried to expose Theranos’...more

In Case You Missed It: Launch Links - October, 2016 #5

Some interesting links we found across the web this week: Board Basics: Advisory Boards - A seed or series A round often triggers a game of musical chairs for board seats. Fortunately, an advisory board serves as...more

ASC Adopts Crowdfunding Prospectus Exemption for Small or Start-up Alberta Businesses

Effective October 31, 2016, the Alberta Securities Commission (ASC) adopted Multilateral Instrument 45-108 Crowdfunding (MI 45-108) which provides Alberta-based issuers with a crowdfunding prospectus exemption. MI 45-108 is...more

Bitcoin Rebounding Following Security Breach

Bitfinex is a Hong Kong-based digital currency exchange – one of the world’s leading such exchanges, and the self-proclaimed largest exchange by volume for trading bitcoin against the US Dollar. On August 2, 2016, Bitfinex...more

Your Daily Dose of Financial News

The CFTC’s reportedly investigating the interest rate swap activities of Citigroup and others. Swaps allow companies to “hedge against a rise or fall in interest rates on the debt that they issue or hold, with banks usually...more

Your Daily Dose of Financial News

The latest on the AT&T/Time Warner deal, including its place in the “ambitious climb” of AT&T’s CEO, Randall Stephenson [NYTimes] and a conversation with one of the deal’s vocal political opponents, Sen. Al Franken....more

SEC Adopts Changes to Rules 147 and 505

Changes Reflect Adoption of Intrastate Crowdfunding and Increased Usage of Private Offerings Under Regulation D The Securities and Exchange Commission (SEC) on October 26, 2016 voted to update Rules 147 and 504....more

Your Daily Dose of Financial News

Qualcomm is reportedly set to acquire NXP Semiconductors for just shy of $40 billion in a deal that would help Qualcomm move beyond smartphone chips and into the broader internet of things....more

This Week in FCPA-Episode 28, the FCPA Blog NYC Conference edition [Video]

In this episode, Jay Rosen and I discuss this past week’s FCPA Blog NYC Conference. We discuss the panels and speakers as well as the impact of the FCPA Blog and its founder Dick Cassin the greater compliance community....more

Your Daily Dose of Financial News

Faced with new Department of Labor rules requiring investment advisers to act in the best interest of their retirement account customers, Morgan Stanley’s decided to let its customers keeping paying for retirement advice with...more

Your Daily Dose of Financial News

Italy’s struggling lender Monte Dei Paschi is cutting jobs and closing branches in an effort to revive the world’s oldest bank (and maybe save Siena in the process)....more

Your Daily Dose of Financial News

The latest from the CFPB and its “Project Catalyst,” which aims to “encourage the development of innovative consumer financial products that meet regulatory requirements” [think Fintech]....more

Your Daily Dose of Financial News

The weekend’s business news was dominated by the word that AT&T has agreed to buy Time Warner for $85.4 billion in the biggest yet in a series of telecomm mergers....more

SEC Fines Fantasy Stock Market App Developer

The Securities Exchange Commission (“SEC”) recently fined New York-based Forcerank LLC (“Forcerank”) $50,000 in connection with charges that Forcerank’s fantasy stock market mobile app illegally offers complex derivative...more

Takeover Code: changes to communicating and distributing information

There have been recent changes to the Takeover Code. The purpose of these is to ensure that the Code's rules on communicating and distributing information and opinions during a takeover offer adequately reflect recent...more

Your Daily Dose of Financial News

China’s expected to announce Q3 economic growth of 6.7 percent this week—a number envied by any other country in the world but the sign of major slowdown there. Dealbook looks at what, exactly, a less-gangbusters Chinese...more

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