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Monetary Authority of Singapore Release Guidelines on Digital Token Offerings

by Jones Day on

The Situation: Guidelines on Digital Token Offerings introduced by the Monetary Authority of Singapore address initial coin offerings and also how current laws will be applied to intermediaries. The Result: Whether a...more

U.S. v. Coinbase: Virtual Currency Holders Not Outside the IRS’s Reach

by Dechert LLP on

The U.S. District Court for the Northern District of California, on November 28, 2017, ordered the international digital currency broker, Coinbase, Inc., to produce to the Internal Revenue Service (IRS) the records of...more

Orrick's Financial Industry Week In Review

CFTC Statement on Self-Certification of Bitcoin Products by CME, CFE and Cantor Exchange - On December 1, 2017, the Commodity Futures Trading Commission ("CFTC") issued a Statement on the Self-Certification of Bitcoin...more

Day 6 of One Month to Better Written Standards- Training on Your Code of Conduct

by Thomas Fox on

What about the training on your finalized Code of Conduct? While there have been criticisms of Code of Conduct training, if you consider training as one source of your 360-degrees of compliance communications, the rollout of...more

This Week in FCPA-Episode 79, the Fire and Ice Edition

by Thomas Fox on

Jay and I return for a wide-ranging discussion on some of the top compliance and ethics related stories of the week, in this week's fire and ice edition: 1. Former VW Engineer Oliver Schmidt sentenced to 7 years in jail...more

Income, from Whatever Exchange, Mine, or Fork Derived: The Basics of U.S. Cryptocurrency Taxation

by Proskauer - Tax Talks on

In this first of (we hope) many posts on the interesting and myriad tax issues arising in the world of cryptocurrency and blockchain technology, we focus on the very basic U.S. federal income tax consequences of...more

12 O'Clock High-Episode 68, Leadership Lessons from the Battle of Hue

by Thomas Fox on

In this episode, Richard Lummis and I consider some of the leadership lessons from the Battle of Hue, which took place in late January/early February 1968 during the North Vietnam’s Tet Offensive. We base our discussion on...more

Day 4 of One Month to Better Written Standards– Code of Conduct: Structure and Format

by Thomas Fox on

Next, the evolution of the structure and format of a best practices Code of Conduct. Initially, my experience with Codes of Conduct was that they were written by lawyers, largely for lawyers. This included ‘thou shalts’ and...more

Compliance Report International Edition-Compliance Man Goes Global, Episode 6

by Thomas Fox on

Welcome to Episode 6 of Compliance Man Goes Global podcast of FCPA Compliance Report International Edition. In this episode, we will focus on typical concepts (or probably myths) on Know Your Client -probably the most...more

CFTC Releases Statement on Three Exchanges’ Plans to List Bitcoin Contracts

On December 1, 2017, the Chicago Mercantile Exchange and CBOE Futures Exchange took the necessary regulatory steps to begin trading new bitcoin futures contracts this month. The Cantor Exchange took similar steps to begin...more

FCPA Compliance Report-Episode 360, James Koukios on New FCPA Corporate Enforcement Policy

by Thomas Fox on

In this episode, I visit with Morrison and Foerster partner James Koukios on the Department of Justice (DOJ) new policy regarding Foreign Corrupt Practices Act (FCPA) enforcement. Last week, Deputy Attorney General Rod...more

Day 2 of One Month to Better Written Standards-Clearly Articulated Written Standards

by Thomas Fox on

The cornerstone of a best practices compliance program is its written standards. These include a Code of Conduct, policies and procedures. These requirements have long been memorialized in the US Federal Sentencing Guidelines...more

Day 3 of One Month to Better Written Standards-Introduction to the Code of Conduct

by Thomas Fox on

What is the value of having a Code of Conduct? I have heard many business folks ask that question over the years. In its early days, a Code of Conduct tended to be lawyer-written and lawyer-driven to wave in regulator’s...more

Day 1-Introduction of Best Practices Written Standards for Compliance

by Thomas Fox on

In this first podcast of the December edition of my One Month to a More Effective Compliance Program series, I introduce written standards. ...more

Day 1 of One Month to Better Written Standards in a Compliance Program-Introduction to December

by Thomas Fox on

The cornerstone of any best practices compliance program is written protocols. This includes a code of conduct policies and procedures. These elements have long been memorialized in the U.S. sentencing guidelines. The...more

French Regulators Launch Public Consultation for Initial Coin Offerings

by Jones Day on

The Situation: French investors continue to show interest in initial coin offerings. The Result: The French Financial Market Authority has launched a public consultation to assess whether ICOs might fall within the scope...more

This Week in FCPA-Episode 78, the New Policy Edition

by Thomas Fox on

Jay and I return for a wide-ranging discussion on some of the top compliance and ethics related stories of the week, including: 1. Deputy Attorney General Rod Rosenstein, in a speech, called it the FCPA Corporate...more

Everything Compliance-Episode 21, the Regulatory (or Not) Edition

by Thomas Fox on

The top compliance roundtable podcast is back with a wealth of new topics. 1. Matt Kelly opens with a discussion the ongoing comments by Deputy Attorney General Rod Rosenstein on compliance, the FCPA, the Yates Memo and...more

Parallel Universe or Coincidence: The CFPB’s New Data Consumer Protection Principles’ Relationship to GDPR

On October 18, 2017, the Consumer Financial Protection Bureau (CFPB) outlined nine non-binding Consumer Protection Principles (the Principles) for the access and sharing of consumer information between third-party companies....more

Consob warning notice on the closure of the SeDeX regulated market and the transition of the new MTF system: outline of the...

by Allen & Overy LLP on

On 22 November 2017, the Italian Securities and Exchange Commission (Consob) released a warning notice (the Warning) in relation to the closure of the SeDeX regulated market and the launch of the SeDeX multilateral trading...more

Day 18 of One Month to 360 Degrees of Communication in Compliance-Leadership is a 360-Degree Conversation

by Thomas Fox on

Planes, trains and automobiles can be three of the most important leadership tools for any compliance professional. For it is through these transportation methods that you get out of the office and into the field to meet and...more

Financial Regulatory Developments Focus - November 2017 #2

by Shearman & Sterling LLP on

In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...more

What would happen to the value of cryptocurrencies if Exchanges had to Issue a Form 1099 on an annual basis?

by Sanford Millar on

The IRS issued a John DOE Summons for records of U.S. account holders of Coinbase, Inc. (“Coinbase”) a cryptocurrency exchange based in San Francisco, California. Coinbase objected to production of the records and a Summons...more

FCPA COMPLIANCE REPORT-EPISODE 359, JONATHAN BENSON ON USING BLOCKCHAIN FOR IDENTITY MANAGEMENT

by Thomas Fox on

In this episode, I visit Jonathan Benson, Vice President at ShoCard. Businesses must adopt solutions which keep information secure. Moreover, there is an ongoing need to ensure they are still in compliance. This episode...more

Day 17 of One Month to 360 Degrees of Communications in Compliance-Operationalize Compliance; Operationalize Culture

by Thomas Fox on

One area which most particularly lends itself to a 360-degree approach to communications is in the area of corporate culture. The more you can operationalize compliance, the more it works to operationalize culture in your...more

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