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Day 17 Of One Month To Better Investigations and Reporting-Whom To Suspend During an Internal Investigation and De-Confliction

by Thomas Fox on

Who to suspend during any Foreign Corrupt Practices Act (FCPA) investigation is always a delicate question to answer. Unfortunately there is never an easy answer. As the Volkswagen (VW) emission-testing scandal continues to...more

Compliance into the Weeds-Episode 43, the Linde Declination

by Thomas Fox on

In this episode, Matt Kelly and I take a deep dive into the first Declination issued by the DOJ in the era of the Trump Administration, which was issued by the DOJ on June 16, 2017, when it issued a Declination to Linde North...more

FCPA Compliance Report-Episode 336, James Koukios on Morrison Foerster April Anti-Corruption Report

by Thomas Fox on

In this episode, James Koukios, a partner at Morrison & Foerster returns to discuss the firm's newsletter Top Ten International Anti-Corruption Developments for April 2017. In this episode we highlight the three following...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Barclays and a group of its former execs are facing charges of fraud by false representation by Britain’s Serious Fraud Office over deals they struck with Qatar in 2008 to avoid a government bailout....more

Unfair and Unbalanced-Episode 20, Roy's Retirement Announcement Edition

by Thomas Fox on

In this episode, I visit with Roy Snell about his recent announcement that he is stepping down as head of the SCCE. We review the current state of the SCCE and how the Roy has seen the compliance evolve from its start after...more

Day 13 of One Month to Better Investigations and Reporting-The Yates Memo and Internal Investigations

by Thomas Fox on

When then Assistant Attorney General Sally Yates, announced the Memo that bears her name, she said the following, “we have revised our policy guidance to require that if a company wants any credit for cooperation, any credit...more

FCPA Compliance Report-Episode 335, Mike Volkov on Blockchain and Compliance

by Thomas Fox on

In this episode, Mike Volkov and I discuss how blockchain has the potential to transform compliance and may facilitate some truly revolutionary modifications in key businesses processes. I see some great value propositions...more

This Week in FCPA-Episode 57, the Father’s Day Edition

by Thomas Fox on

This week, as their tribute to their Dad, we are guest hosted by Jay’s daughters, Millie and Michela. They lead us through a wide-ranging discussion on some of the week’s top compliance related stories, including: 1. The...more

FCA Regulatory Sandbox Update: Successes in Round One, Application Window for Round Three Open

by Latham & Watkins LLP on

The Financial Conduct Authority (FCA) has provided an update on its regulatory sandbox initiative. The sandbox is part of Project Innovate, and allows businesses (whether already authorised or not) to test new offerings in...more

Blockchain Week in Review - June 2017 #5

by Perkins Coie on

Below is a summary of some of the significant legal and regulatory actions that occurred over the past week. This alert is not intended to be a comprehensive list of all such developments, but rather a selection of...more

Taking Stock in Blockchains

Corporate lawyers and software developers have been watching eagerly as the State of Delaware takes steps to enable Delaware corporations to issue shares of their stock as digital tokens. Instead of recording shares on paper...more

Report on rapid growth in P2P lending – what does it mean for New Zealand?

by DLA Piper on

Credit activity on FinTech credit platforms around the world has generated significant interest in financial markets, among policymakers and from the broader public. However, there remains a level of uncertainty as to how...more

Day 7 of One Month to Better Investigations and Reporting-How an Investigation Informs Remediation

by Thomas Fox on

There is nothing like an internal whistleblower report about a FCPA violation, the finding of such an issue or (even worse) a subpoena from the DOJ to trigger the Board of Directors and senior management attention to the...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

When it comes to the big (tech) 5, investors are cheering on their massive gains even as they nervously look around the corner for the dreaded market correction....more

Resources on Crypto-Tokens and Securities Law

by Perkins Coie on

The following resources take a deep dive into the issues surrounding crypto-tokens and securities law and recognize that, when properly designed, some tokens may not meet the Howey test...more

What's next for robo-advice? The SFC consults on the proposed guidelines on online distribution and advisory platforms

by Hogan Lovells on

With the rapid development of technology, there is an increasing trend of intermediaries providing investment services and distributing investment products over the internet. Whilst the Securities and Futures Commission...more

In Case You Missed It: Launch Links - May, 2017 #3

by WilmerHale on

Some interesting links we found across the web this week: WTF is an ICO? ICO’s might be the crypto-currency world's song of the summer. TechCrunch dives into the new and interesting trend around initial coin offerings....more

Colorado’s Proposed Cybersecurity Rules for Investment Advisers and Broker-Dealers

by Snell & Wilmer on

Colorado has new proposed rules that add cybersecurity requirements for certain entities with Colorado securities licenses. The proposed rules are from the regulatory agency the Division of Securities. It licenses securities...more

New York & Colorado Propose “New” Cybersecurity Regulations for Broker-Dealers

by Wilson Elser on

In the wake of the promulgation of new cybersecurity regulations by New York State’s Department of Financial Services, Colorado has proposed cybersecurity regulations for broker-dealers, investment advisers and other fund...more

Blockchain and the financial markets: Will 2017 be the year of the regulators? New rules covering blockchain and distributed...

by White & Case LLP on

In 2016, policy makers and regulators started to take an active interest in blockchain and distributed ledger technology (DLT). However, many adopted a "wait and see" approach rather than producing binding regulations. 2017...more

Financial Services Weekly News - May 2017 #4

by Goodwin on

Editor's Note - Memorial Day. On Memorial Day, we will be celebrating the men and women whose service and sacrifice ensures the preservation of freedom and opportunity across the United States. Rather than summarize the...more

Silicon Valley Venture Capital Survey - First Quarter 2017

by Fenwick & West LLP on

We analyzed the terms of 191 venture financings closed in the first quarter of 2017 by companies headquartered in Silicon Valley. Overview of Fenwick & West Results - Venture valuations showed small...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Citigroup announced yesterday that it’ll pay nearly $100 million to resolve a long-running federal investigation into its Banamex USA group over lax money-laundering monitoring (largely for transfers between the US and...more

Colorado Division of Securities Publishes Final Cybersecurity Rules

by Ballard Spahr LLP on

The Colorado Division of Securities (Division) has published final cybersecurity rules applicable to broker-dealers and investment advisers. The Colorado Attorney General's office has 20 days to write an opinion on the rules,...more

OCIE Publishes Risk Alert In Response to WannaCry Ransomware

by Dechert LLP on

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) issued a National Exam Program Risk Alert (Risk Alert) on May 17, 2017 in response to “WannaCry,” the ongoing...more

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