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ICOs at the End of 2017: What We Think We Know and What We Don't Know

Initial coin offerings (ICOs), token pre-sales, and similar sales of blockchain-based coins and tokens are quickly becoming an important fundraising option, and an important method of attempting to seed a token-based platform...more

In Case You Missed It: Launch Links - October, 2017 #2

by WilmerHale on

Some interesting links we found across the web this week: 10 Business Podcasts Every Entrepreneur Should Be Tuning Into Here are 10 podcasts Forbes recommends for small businesses. ...more

What’s the current landscape for CFTC cryptocurrency regulation?

by Thompson Coburn LLP on

As cryptocurrencies such as Bitcoin enter the mainstream, entrepreneurs are exploring business models that may depend on compliance with regulatory constraints. This short article summarizes the cryptocurrency regulatory...more

SEC Files Fraud Charges Relating to ICO Schemes

by Ropes & Gray LLP on

Two months after warning investors that some digital tokens or coins may qualify as securities under the federal securities laws, the Securities and Exchange Commission (SEC or the Commission) on September 29, 2017 brought...more

Across the Board-Episode 7, Brad Davis on the Board's Role in Data Security Oversight

by Thomas Fox on

In this episode I visit with data and IT security expert Brad Davis, CEO of EverSolve, a company specializing in data security. We discuss the role of the Board of Director's in data and IT security in both oversight and...more

Compliance into the Weeds-Episode 57-SOX Reform or Not?

by Thomas Fox on

In this episode Matt Kelly and I discuss the Treasury Department’s recently released A Financial System That Creates Economic Opportunities-Capital Markets report. The report has multiple proposals, including multiple ideas...more

Draft Fintech Law bill introduced in Mexico

by White & Case LLP on

On September 18, 2017, the Ministry of Finance and Public Credit (SHCP) submitted to the Mexican Federal Commission for Regulatory Efficiency (Comisión Federal de Mejora Regulatoria, COFEMER) the draft bill of the Law...more

First Circuit Affirms Dismissal of Claim That “Simply Point[ed] . . . to Omitted Details” of FDA Communications Without Pleading...

The First Circuit recently affirmed dismissal of claims under Section 10(b) and Rule 10b-5 as failing to meet the Private Securities Litigation Reform Act’s standard for pleading scienter. Corban v. Sarepta Thereapeutics,...more

Compliance Man Goes Global-Episode 3

by Thomas Fox on

I welcome you to Episode 3 of Compliance Man Goes Global podcast of FCPA Compliance Report International Edition. As always, I am joined by Timur Khasanov-Batirov, a practitioner who focuses on embedding compliance programs...more

SEC Gets Tough on ICOs, Files First Fraud Case

The SEC has filed charges against multiple ICO sponsors alleging securities law violations. The Securities and Exchange Commission (the Commission) has put its digital money where its mouth is. After concluding in a July...more

FCPA Compliance Report-Episode 352, James Koukios on summer 2017 anti-corruption developments

by Thomas Fox on

In this episode, I have back James Koukios, a partner in the law firm of Morrison and Foerster. We review some of the top FCPA and international anti-corruption cases and issues which have occurred over the summer of 2017....more

Financial Services Quarterly Report - Third Quarter 2017: Global Update: Regulators Focus on Initial Coin Offerings

by Dechert LLP on

Since January 2017, more than $2 billion has been raised through the rapidly growing market for so-called “token sales” or “initial coin offerings” (ICOs). The U.S. Securities and Exchange Commission (SEC) announced on July...more

Bridging the Week - October 2017

Two Commodity Pool Operators Charged by CFTC with Failure to Supervise: The Commodity Futures Trading Commission brought and settled enforcement actions against two commodity pool operators for failure to supervise. In one...more

WSGR Fintech Update - October 2017

Wilson Sonsini Goodrich & Rosati is pleased to present the October 2017 issue of the WSGR Fintech Update. This latest edition features an article discussing the U.S. Securities and Exchange Commission's new "Cyber Unit"...more

Day 2 of One Month to Better Compliance in Business Ventures-Key FCPA Enforcement Actions in M&A

by Thomas Fox on

Today, I want to consider some of the key FCPA enforcement actions involving mergers and acquisition. These cases and the 2012 Guidance have made clear that Justice Department and SEC will vigorously prosecute companies which...more

Compliance into the Weeds-Episode 56-the Fraud Triangle, Rationalizations and Compliance Programs

by Thomas Fox on

In this episode, Matt Kelly and I take a deep dive into an article by Todd Haugh, in the most recent issue of the MIT Sloan Management Review entitled, “The Trouble With Corporate Compliance Programs” that even best practices...more

Day 1 of One Month to More Effective Compliance for Business Ventures-Introduction

by Thomas Fox on

Today, I begin a one month series on how to have a more effective compliance program involving business ventures. This will include the role of compliance in mergers and acquisitions, the role of compliance in joint venture...more

FCPA Compliance Report-Episode 351, David McLaughlin of QuantaVerse on using AI for risk reduction

by Thomas Fox on

In this episode, I have a fascinating interview with David McLaughlin, founder and CEO of QuantaVerse, which has artificial intelligence and data analytics tools to help companies manage risk more effectively. We discuss the...more

Equifax and SEC Breaches Show You Can’t Hide from Hackers

by Wilson Elser on

Cited as one of the largest incidents of its kind in history, the recent Equifax data breach underscores that every business and individual is vulnerable to theft of sensitive information by unscrupulous hackers. In less than...more

Announcement Clarifies Regulatory Position on Initial Coin Offerings in Hong Kong

by Jones Day on

The Situation: The Hong Kong Securities and Futures Commission has issued a statement explaining that, depending on the facts and circumstances of an initial coin offering ("ICO"), the ICO and any digital tokens that are...more

This Week in FCPA-Episode 57, the Pay for Shoes Edition

by Thomas Fox on

Jay Rosen and I wrap up the week's top FCPA, compliance and ethics stories....more

Day 19 of One Month of Innovation in Compliance-Innovation in Compliance Leadership

by Thomas Fox on

While many compliance departments may have begun more as a command and control function, set up by lawyers to comply with anti-bribery laws such as the FCPA, UK Bribery Act or others; this type of leadership model is now...more

Compliance Report-International Edition-Compliance Man Goes Global, Episode 2

by Thomas Fox on

n this Episode 2 of Compliance Man Goes Global podcast of the Compliance Report International Edition, we focus on real priorities of the corporate compliance programming at high-risk markets.  In each podcast, we take two...more

Day 18 of One Month of Innovation in Compliance-Innovation Through the Use of Videos

by Thomas Fox on

Now consider the use of video to assist ongoing communications in a best practices compliance program. It has certainly been proven that social video can boost your company’s brand awareness and its sales. Why not consider...more

Cyberattacked: The SEC Joins the Club

by Bracewell LLP on

On September 20, the Securities and Exchange Commission announced that its system for electronic filing for public company disclosures, EDGAR, was compromised last year and that hackers may have used exposed information for...more

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