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New York State Department of Financial Services Issues Guidance to Virtual Currency Entities

On February 7, 2018, the New York State Department of Financial Services (“DFS”) issued guidance for all virtual currency entities licensed by New York State regarding the prevention of market manipulation, fraud, and other...more

Between Bridges, Featuring Topics on Cybersecurity, Cryptocurrencies and Compliance

Last week, a futures commission merchant settled an enforcement action brought by the Commodity Futures Trading Commission, claiming that it failed to supervise a third-party technology provider it engaged to implement...more

Global Ambitions for the FCA’s Sandbox

by Latham & Watkins LLP on

The FCA seeks industry feedback to capitalise on global regulatory sandbox trend. The regulatory sandbox was pioneered by the Financial Conduct Authority (FCA) back in November 2015 — a “safe space” in which businesses can...more

Countdown to GDPR-Episode 1, Introduction to GDPR

by Thomas Fox on

Whether you are ready or not, the EU General Data Protection Regulation (GDPR) goes live on May 25, 2018. It will impact companies doing business in London as much as any other EU legislation. To help US companies prepare,...more

SEC Staff Announces 2018 OCIE Examination Priorities

by Proskauer Rose LLP on

Last week the staff of the Office of Compliance Inspections and Examinations (OCIE) of the SEC announced its 2018 examination priorities. The 2018 examination priorities include five thematic areas: (i) compliance and risks...more

FCPA Compliance Report-Episode 371, James Koukios on International Anti-Corruption Developments from December 2017

by Thomas Fox on

In this episode, podcast favorite James Koukios returns to discuss highlights from international anti-corruption efforts, enforcement actions and developments highlighted in Morrison and Foerster’s December report. We...more

Australian Securities Exchange Announces Decision to Implement Blockchain-Based Clearing and Settlement System

Blockchain advocates have been awaiting the final decision by ASX Ltd, the Australian Securities Exchange, as to whether ASX will replace its existing and aged CHESS registry, settlement and clearing system with a...more

This Week in FCPA-Episode 90, the Carbon Copy edition

by Thomas Fox on

In this episode, Jay Rosen and myself take a look at some of the top compliance stories over the past week. 1. A very interesting article by T. Markus Funk and Andrew Boutros entitled, "The Evolution and Status of 'Carbon...more

Financial Services Weekly News - February 2018 #2

by Goodwin on

Editor's Note - In This Issue. The Consumer Financial Protection Bureau (CFPB) released its five-year Strategic Plan and issued a request for information on its enforcement processes; the New York State Department of...more

Bridging the Week - February 2018 #2

Last week, the chairmen of the Commodity Futures Trading Commission and the Securities and Exchange Commission provided their insight into the risks of cryptocurrency activities before a Senate committee. During his...more

Across the Board-Episode 15, Joe Howell on Board Governance and Risk Oversight

by Thomas Fox on

One of the ongoing questions from members of Board of Directors is how to resolve the tension between oversight and managing. I recently had the opportunity to visit with Joe Howell, the Executive Vice President (EVP) of...more

FCPA Compliance Report-Episode 370 Carlos Ayres on 2017 Brazilian Anti-Corruption Wrap Up and Going Forward into 2018

by Thomas Fox on

In this episode I visit with Carlos Ayres, partner at Medea, Ayres and Sarubbi in Sao Paulo. We visit on the past year in anti-corruption enforcement in Brazil and where it may lead in 2018. Carlos discusses the continued...more

SEC Exams to Focus on ICOs and Cryptocurrency

by Goodwin on

On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2018 Examination Priorities. In what comes as no surprise, the exam priorities include initial coin offerings (ICOs) and...more

Compliance into the Weeds-Episode 70-AI in a Hotline App

by Thomas Fox on

In this episode, Matt Kelly and I go into the weeds on the fascinating subject relating to the intersection of compliance and technology: AI and hotlines. Matt blogged on and podcasted with Scott LaVictor, CEO of Neighborhood...more

The Top Ten Regulatory and Litigation Risks for Private Funds in 2018

With the public equity markets at an all-time high and private equity fund raising setting new records, it might seem counter-intuitive to forecast litigation and regulatory risks. The opposite is true. Disputes typically...more

U.S. Treasury to Review FinCEN’s Cryptocurrency Practices

In October, the U.S. Department of the Treasury (the “Treasury”) released its Annual Plan, outlining the Office of Inspector General’s audit and investigative priorities for fiscal year 2018. The Annual Plan notes that...more

State-Level Legislation Anticipates Wide-Spread Business Use of Blockchain

On a daily basis, companies are announcing new developments on the adoption of blockchain in core business operations. However, many of these use cases present unique legal issues. In order to provide some clarity on some of...more

SEC’s OCIE Announces National Exam Program Priorities

by Dorsey & Whitney LLP on

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published its National Exam Program Examination Priorities. This year’s publication comes in the form of a brochure, much like the one issued by the...more

Blockchain and Privacy

Discussions about “blockchain” technology seem to be everywhere these days, with potential applications spanning industries as diverse as banking, healthcare, real estate, law enforcement, entertainment, and even wine and...more

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

by WilmerHale on

Some interesting links we found across the web this week: - 3 Things Every Startup Cofounder Should Keep in Mind - Co-founders are like spouses, friends, teammates and colleagues all wrapped up in one....more

This Week in FCPA-Episode 89, the Eagles Soar edition

by Thomas Fox on

In this episode, we discuss the following: 1. What do Steve Wynn's resignation and Wells Fargo's continuing problems tell us about corporate governance? 2. Bill Coffin asks why Wells Fargo, Volkswagen and Samsung are on...more

Recent Insights from the SEC Regarding Dodd-Frank Rulemaking and Initial Coin Offerings

by White and Williams LLP on

On January 22, 2018, US Securities and Exchange Commission (SEC) Chairman Jay Clayton gave the opening remarks at the Securities Regulation Institute. His comments provided helpful guidance on several noteworthy topics...more

CFTC Proposes Interpretation to Address Cryptocurrency Delivery Questions

by Ropes & Gray LLP on

On December 15, 2017, the U.S. Commodity Futures Trading Commission (“CFTC”) issued its proposed interpretation of the term “actual delivery” in the context of virtual currency retail commodity transactions. Comments to the...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Cryptocurrencies continued to be an important topic of discussion this week. The Chairman of the SEC and the Chairman of the CFTC testified before the Senate Banking Committee on the subject....more

Governance & Securities Law Focus: Asia Edition - February 2018

by Shearman & Sterling LLP on

In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. Please see...more

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