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UK Government Announces Steps to Support UK FinTech Growth

The Economic Secretary to the UK Treasury, Harriett Baldwin, gave a speech at the 2016 Innovate Finance Global Summit in London. The Economic Secretary announced certain policies that the UK Government had adopted to support...more

Indiana Medical Device Manufacturer’s Deferred Prosecution Agreement with DOJ Extended for a Second Time

On March 25, an Indiana-based medical device manufacturer announced that the deferred prosecution agreement it entered into with the DOJ to settle FCPA charges in 2012 would be extended a second time. The company reported...more

Pharmaceutical Company Settles with SEC Regarding FCPA Offenses in China

On March 23, the SEC announced that it settled FCPA allegations with a Switzerland-based pharmaceutical company, via a cease and desist order finding that the company violated the FCPA’s book and records and internal controls...more

Novartis Agrees to Settle Bribery Charges Against Chinese Subsidiaries for $25 Million

On March 23, 2015, Swiss-based pharmaceutical company Novartis AG (“Novartis”) reached a civil settlement with the United States Securities and Exchange Commission (“SEC”) for violating the internal controls and books and...more

Apple’s Conflict Minerals Smelters Nearly 100% Audited

Apple has filed its Form SD for the year ended December 31, 2015. It includes this disclosure: The combination of training, public reporting and a ticking clock drove the number from 82 smelters and refiners...more

Logos Seeks Accredited Investors In Bitcoin Fund

On February 26, 2016, Logos Capital Fund, LLP (“Logos”) filed with the Securities and Exchange Commission (“SEC”) a Form D Notice of Exempt Offering of Securities. As its Form D indicates, Logos is soliciting investments of...more

Novartis Coughs Up $25 Million to SEC for China FCPA Violations

Last week, the SEC announced another FCPA settlement involving the pharmaceutical industry for bribery in China. The SEC’s settlement filing represents yet another example of the pharmaceutical industry run amok in China,...more

EU Commission Adopts Delegated Regulation on Abusive Practices and Suspicious Orders and Transactions Under MAR

On March 9, the European Commission adopted a delegated Regulation (and an accompanying Annex) in relation to the EU Market Abuse Regulation (MAR). The delegated Regulation sets out arrangements, systems and procedures and...more

US CHINA TRADE WAR–Trump, Trade Policy, NME, TPP, Trade, Customs, False Claims, Products Liability, Antitrust and Securities

Dear Friends, After returning from a two week trip to China to work on the Solar Cells case, this March blog post will cover trade policy, including Trump’s impact on Trade Policy, trade, Customs, False Claims Act, the...more

Cryptocurrency: A Primer

What is cryptocurrency? There is no one standard definition of cryptocurrency. At the most basic level cryptocurrency—or digital currency or virtual currency—is a medium of exchange that functions like money (in that it...more

UK Financial Regulatory Developments - March 2016 #5

EBA reports on supervisory colleges - EBA has published its annual assessment of EU colleges of supervisors. The report assesses how colleges have functioned during 2015 and identifies key activities for the effective...more

SEC Settles with Health Science Company and Former Employee Over Bribes to Russian Government Officials

On March 3, the SEC announced it settled FCPA charges with a health science company and a former engineer, Mikhail Gourevitch, for their role in bribing Russian government officials to obtain approvals for a liver cancer...more

In Case You Missed It: Launch Links - February 2016 #4

Some interesting links we found across the web this week: Has this year's startup funding slowdown been overblown? Debate continues over the perceived downturn in the market for venture capital, as a new...more

CFIUS Continues its Focus on China and “Critical Technologies”

The recently published annual report of the Committee on Foreign Investment in the United States (“CFIUS” or “Committee”) for calendar year 2014 makes clear that parties to potential foreign investment in the United States...more

UK Financial Regulatory Developments - March 2016 #1

IOSCO reports on risk in the securities markets - IOSCO has published the 2016 edition of its Securities Markets Risk Outlook report, identifying and examining key trends in global financial markets and the potential...more

Global Financial Markets Insight - Issue 9, Q1 2016

The beginning of 2016 has proved uncomfortable for markets. The fall in oil prices, the downturn of the Chinese markets and the continued uncertainty over Europe continue to drive a negative and uncertain outlook. With...more

FCPA Compliance and Ethics Report-Episode 237-Steve McCalmont on the Avior Risk Management Platform [Video]

In this episode I visit with Steve McCalmont, CEO of Avior Computing on the Avior Risk Management platform. ...more

8 Key Takeaways From the CFIUS Annual Report to Congress

FY2014 CFIUS Report reflects significant increase in the number of transactions reviewed for national security risks, with Chinese investors continuing to lead the pack. The Committee on Foreign Investment in the United...more

SEC Speaks Conference 2016: Key Takeaways for Public Companies

Senior SEC enforcement staff “Speaks” to the division’s performance in 2015 and identifies priorities for 2016. Senior members of the Enforcement Division of the US Securities and Exchange Commission (SEC) gathered on...more

Your daily dose of financial news The Brief – 2.26.16

Once again pulling no punches, Breakingviews dubs Foxconn’s [now questionable] takeover a “messy milestone” for Sharp, the “ailing maker of display TVs” – NYTimes... South Korea’s top financial regulator is seeking to...more

SEC Speaks 2016: Enforcement Panels Double Down on Use of Data Analytics

Data collection and analysis continue to impact SEC’s approach to enforcement. The increasing use of data analytics to jump-start investigations and enforcement efforts dominated the panel discussion at this year’s...more

Your daily dose of financial news The Brief – 2.24.16

Wall Street’s internal watchdog, the Financial Industry Regulatory Authority (or Finra), is stepping back to take a whole-forest look at the “cultural values at more than a dozen brokerage firms,” in an effort to “understand...more

PTC Settlement: Compliance Reminders for Internal Controls, Travel and Gifts

PTC, a Massachusetts software company, reached settlements with the SEC and DOJ last week for FCPA violations for a total of $28 million. Interestingly, the SEC announced a DPA with a PTC official who assisted in the...more

SEC Speaks – What to Expect in 2016

The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. The presentations covered an array of topics, but...more

Your daily dose of financial news The Brief – 2.22.16

With China’s top securities regulator, Xiao Gang, officially on the outs, the Times takes a look at the difficult road ahead for replacement Liu Shiyu in one of the most thankless jobs in China—where “the pay is too low and...more

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