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This Week in FCPA-Episode 27, the Walla Walla Edition [Video]

Show Notes for Episode 27, week ending October 21, 2016-the Walla Walla Edition 1. Lennox Industries self-reports a $425 bribe; 2. Another guilty plea in FIFA corruption scanda; 3. Public Citizen letter to DOJ/SEC re:...more

Your Daily Dose of Financial News

For a start-up looking to unseat Bloomberg as the go-to insider source for financial news [other than this blog, of course], there’s a surefire way to gain some instant credibility: hire one of Bloomberg’s former top execs,...more

September 2016 IPO Market Review

The IPO market produced 14 IPOs in September, representing the second highest monthly figure for 2016 and only one behind May’s tally of 15 IPOs. The month’s total represents the third-busiest September since 2000, trailing...more

This Week in FCPA-Epiode 26, the East Lansing Edition [Video]

In this episode, Jay and I discuss the following: 1. World Bank Debarments- as reported on the FCPA Blog; 2. Spanish pharma Grifols lands its second DOJ declination-as reported on the FCPA Blog; 3. Wells Fargo CEO Stumpf...more

Capital Markets & Public Companies Quarterly: Potential Shift in SEC’s Proxy Access No-Action Policy and Other New Guidance from...

The third quarter of 2016 saw the US Securities and Exchange Commission (SEC) carry forward its momentum from an active second quarter. Recent developments include new SEC Compliance & Disclosure Interpretations (C&DI) and...more

FCPA Compliance Report-Episode 285, Francine McKenna on the Taylor Bean litigation against PwC [Video]

In this episode I visit with WSJ MarketWatch reporter Francine McKenna on the recently concluded Taylor Bean litigation against PwC and what it might mean for the Big 3 going forward. ...more

Second Quarter Venture Funding Increases 20% from First Quarter

Earlier this year, the National Venture Capital Association (NVCA), a trade association representing the U.S. venture capital industry, released the results of its MoneyTree Report on venture funding for the second quarter of...more

Your Daily Dose of Financial News

In a “highly anticipated” ruling from the US Court of Appeals for the DC Circuit, a three-judge panel has found the structure of the Consumer Financial Protection Bureau unconstitutional, holding that the current organization...more

SEC Proposes New BCP Rule and Issues Guidance

On June 28, 2016, the Securities and Exchange Commission (the “SEC”) released a proposed rule (the “Proposed Rule”) that would require registered investment advisers (“RIAs”) to adopt written business continuity and...more

Compliance into the Weeds-Episode 15-breakdowns in the three lines of compliance defense [Video]

In this episode, Matt Kelly and I go deep into the weeds in our discussion of the three lines of compliance defense and how they failed at Wells Fargo and Credit Suisse. We talk about Matt's multi-dimensional view of the...more

Your Daily Dose of Financial News

Regulators aren’t the only ones after Theranos now. On Monday, one of its major investors—Partner Fund Management—filed suit against the embattled blood-testing company in Delaware state court over an alleged series of...more

FCPA Compliance Report-Episode 284, Mike Scher [Video]

In this episode, I visit with Mike Scher on our upcoming panel at the FCPA Blog NYC Conference on Oct. 26th. We preview our panel by looking at the compliance response to the Wells Fargo scandal in the context of whom does...more

Your Daily Dose of Financial News

Some good news for the UK after a brutal few days for the pound? It appears that the pound’s precipitous fall has acted as a sort of “giant shock absorber” against Brexit—a release valve of sorts that has meant decreased...more

Orrick's Financial Industry Week in Review

SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies - On September 28, 2016 the Securities and Exchange Commission ("SEC") voted to adopt new rules to establish "enhanced standards for the...more

The Evolution of Advice: Digital Investment Advisers as Fiduciaries

The landscape for investment advice is shifting, and an innovative model has emerged that combines technology and investment expertise to deliver high-quality advice at a lower cost than traditional investment advisory...more

US derivatives regulator strengthens cybersecurity testing obligations: key takeaways

Amid growing concern regarding cybersecurity preparedness, the US derivatives regulator recently issued regulations aimed at strengthening cybersecurity obligations for certain financial services entities. On September 8,...more

Financial Services Weekly News - October 2016

Editor's Note - Regulation and Innovation, Part IV. In the April 6, June 22 and September 14 editions of the Roundup, we discussed the approaches of various banking regulators generally, and the Office of the...more

Your Daily Dose of Financial News

Theranos is “retreating” from its blood tests, cutting its workforce by 40 percent, and shuttering facilities—all signs that Elizabeth Holmes’ company may be shifting to developing products to sell to outside labs rather than...more

Washington Insight - September 2016

House Financial Services Committee Votes To Repeal And Replace Dodd-Frank - On September 13th, the House Financial Services Committee approved the Financial CHOICE Act of 2016 to repeal and replace key parts of the 2010...more

Your daily dose of financial news - The Brief – 10.4.16

The Journal gives us a closer look at Italy’s Monte dei Paschi—the world’s oldest bank (founded in 1472)—that’s deeply tied to Siena and that’s threatening to drag the whole of the region’s economy down with it if it fails,...more

FCPA Compliance Report-Episode 283-Sam Buell, criminal law and the Wells Fargo scandal [Video]

In this episode, I visit with Samuel Buell, a professor at Duke University Law School. He chat on his piece in Slate online magazine entitled "Prosecuting Wells Fargo Executives Won’t Solve Anything' and he should know as...more

"Privacy & Cybersecurity Update - September 2016"

In this edition of our Privacy & Cybersecurity Update, we examine the Sixth Circuit's decision to allow injury-in-fact to be established by alleging a "substantial risk of harm" in a data breach case, New York state's...more

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

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