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Bridging the Week - March 2018 #2

J. Christopher Giancarlo, Chairman of the Commodity Futures Trading Commission, laid out his priorities for the remainder of 2018 in a speech before the FIA at its annual conference last week. Unrelatedly, the Securities and...more

FCPA Compliance Report-Episode 375, Steve Durham on Impact of Digital Realty Trust

by Thomas Fox on

In this episode, I welcome back Steve Durham, a partner with Labaton and Sucharow to discuss the continued reverberations from the recent Supreme Court decision narrow the definition of whistleblowers in Digital Realty Trust...more

New Guidance From SEC, New York’s DFS

Hoping to help covered entities, the Securities and Exchange Commission (SEC) released an update on cybersecurity while New York’s Department of Financial Services (DFS) published guidance for licensed virtual currency...more

This Week in FCPA-Episode 94, the March Madness edition

by Thomas Fox on

1. March Madness is here. So is corruption in NCAA basketball. 2. Former FCPA Unit Head Chuck Duross says that self-reporting is still “probably not worth it”. 3. Elizabeth Holmes and Theranos were engaged in massive,...more

European Commission Calls for Acceleration of Completion of the Capital Markets Union

by Shearman & Sterling LLP on

The European Commission has published a Communication on completing the Capital Markets Union by 2019. The Communication confirms the Commissions commitment to completing the CMU by mid-2019 and announces the publication of...more

European Commission Proposed Legislation to Regulate Cross-Border Crowdfunding Service Providers

by Shearman & Sterling LLP on

The European Commission has published a proposed Regulation on European Crowdfunding Service Providers for Business. The proposed ECSP Regulation is part of the EU Capital Markets Union initiative and the Commission's FinTech...more

European Commission Outlines its Action Plan for FinTech

by Shearman & Sterling LLP on

The European Commission has issued a Communication on FinTech to the European Parliament, the European Council, the European Central Bank, the European Economic and Social Committee and the Committee of the Regions....more

US District Court rules virtual currencies are commodities

On March 6, 2018, the Eastern District of New York was the first federal court to rule that virtual currencies, also referred to as cryptocurrencies, are commodities under the Commodity Exchange Act (CEA) and that the...more

12 O'Clock High-Episode 82, Leadership Lessons from Henry Worsley and Ernest Shackleton

by Thomas Fox on

In this podcast, I explore leadership lessons from the Antarctic explorer Ernest Shackleton and modern day Antarctic adventurer Henry Worsley. Henry Worsley and Ernest Shackleton are related by more than blood. They are...more

Compliance into the Weeds-Episode 74, Continued Fallout from Somers

by Thomas Fox on

In this episode, Matt Kelly and I continue our exploration of the fallout from the recent Supreme Court decision in Digital Realty Trust v. Somers in light of the filing by BioRad in its appeal of the whistleblower award to...more

Wyoming Enacts Trailblazing Blockchain and Cryptocurrency Legislation

by Wilson Elser on

During the week of March 5, 2018, Wyoming passed comprehensive legislation crafted to convince blockchain and cryptocurrency businesses to locate within its borders and avail themselves of what many consider favorable...more

In Case You Missed It: Launch Links - March, 2018

by WilmerHale on

Some interesting links we found across the web this week: Investor Perspectives – Industries to Watch in 2018 - WilmerHale’s own David Gammell shares his thoughts on the hottest sectors expected to attract VC funding...more

FCPA Compliance Report-Episode 374, John Davis on Miller & Chevalier's FCPA Winter Review 2017

by Thomas Fox on

In this episode, I visit with Miller & Chevalier Member John Davis on the firm’s FCPA Winter Review 2017. We discuss the key FCPA enforcement actions from 2017 and developments in compliance. Davis identifies four theme’s...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Virtual currencies were front and center again this week. The SEC’s Divisions of Enforcement and Trading and Markets issued a rare joint statement cautioning investors about trading virtual currencies....more

Financial Services Weekly News - March 2018

by Goodwin on

Editor's Note - In This Issue. The Consumer Financial Protection Bureau (CFPB) issued a request for information regarding the consumer complaint reporting process, marking the sixth request in a series of RFIs; the House...more

Across the Board-Episode 16, Boards of Directors and Compliance

by Thomas Fox on

In this episode I consider the role of the Board of Directors in having a Compliance Committee and having a compliance expert on the Board itself. When you consider any of the most recent corporate scandals, from industries...more

Countdown to GDPR-Episode 3, Policies and Procedures

by Thomas Fox on

In this episode we explore the basic policies and procedures that you need to have in place to comply with the General Data Protection Regulation (GDPR). I am joined in the exploration by Jonathan Armstrong, a partner at...more

EU Impact

by DLA Piper on

Dear Reader, While the Brussels Bubble is buzzing with the latest twists and turns in the high drama surrounding the EU's own "Rasputin", the all-powerful Martin Selmayr who managed to sidestep everyone and elevate himself...more

SEC Issues Updated Guidance on Public Company Cybersecurity Disclosures

by Proskauer Rose LLP on

On February 21, 2018, the Securities and Exchange Commission (SEC) issued an interpretive Commission Statement and Guidance on Public Company Cybersecurity Disclosures (the "Guidance") to assist public companies in meeting...more

UK financial regulators respond to the rise of the robots

by WilmerHale on

The FCA and PRA publish coordinated papers focused on risk management and governance in respect of algorithmic trading - On 12 February 2018, the UK Financial Conduct Authority (FCA) and the Prudential Regulatory...more

FCPA Compliance Report-Episode 373, John Hanson on 1 year at the helm of the IAICM

by Thomas Fox on

In this podcast I welcome back John Hanson, founder and President of the International Association of Independent Corporate Monitors (IAICM) the only professional group for independent corporate monitors. The IAICM was...more

ICOs - The necessity of a European regulatory framework for tokens

by Dentons on

While regulators were still discussing the most effective way to regulate crowdfunding within the EU, a new wave of alternative financing overwhelmingly took them by surprise: ICOs are the new hype, and it seems like there is...more

Across the Board-Episode 14, Joel Solomon on the Clean Money Revolution

by Thomas Fox on

In this episode I visit with Joel Solomon, author of “The Clean Money Revolution”. Solomon has worked in the investment community for many years, both in the United States and Canada. We discuss what is mission venture...more

Implications for Launch of tZERO, First U.S. Registered ATS

The world’s first SEC-registered cryptocurrency exchange may be just around the corner. As detailed in their October 24 Form 8-K, subsidiary tZERO has entered into a joint venture with The Argon Group and RenGen...more

Hybrid token offerings: the rise of token offerings for venture backed-companies

by DLA Piper on

The use of distributed ledger technology to tokenize products and raise non-dilutive capital was a major new development for technology startups in 2017. Initial coin offerings, or ICOs, and then SAFT (Simple Agreements for...more

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