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ESMA Provides Further Clarity on Initial Coin Offerings in Europe

by Latham & Watkins LLP on

Following our 7 November 2017 blog “Europe as a Hub for Initial Coin Offerings”, the European Securities and Markets Authority (ESMA) has published two statements on Initial Coin Offerings (ICOs). The statements underline...more

Establishing a chain of title - Leveraging blockchain for the real estate industry

by Dentons on

Establishing a good title and guaranteeing speedy acquisition of real estate is of paramount importance to investors, funds, and real estate developers. For example, if salient information on prior encumbrances, easements and...more

Forever 21 Latest Retailer to Suffer Credit Card Breach

Forever 21 has warned customers who used a credit card at any of its stores between March and October 2017 that their credit card may have been compromised....more

Day 16 of One Month to 360 Degrees of Communication in Compliance- Crowdsourcing as Communications

by Thomas Fox on

One of the greatest things about the compliance profession is that it is only limited by its collective imagination. If you can think it up, you can probably do it. This has led not only continuing evolution of compliance...more

Day 15 of One Month of 360 Degrees of Communication in Compliance- Supply Chain as Compliance Communication

by Thomas Fox on

How can a Chief Compliance Officer use 360-degrees of communication with compliance stakeholders who are outside your organization? Obviously, the communications with those third parties about your compliance evaluation is a...more

Uniform Law Commission Addresses Virtual Currency Regulation

by McDermott Will & Emery on

On October 9, 2017, the Uniform Law Commission released a proposed state statute, which, if adopted, will require a new type of state licensure for persons engaging in “virtual business activities.” The proposed regulation...more

Renewable Energy Update - November 2017

by Allen Matkins on

Focus - Wells Fargo global operations now powered by 100 percent renewable energy - PennEnergy - Nov 8 Wells Fargo & Company has announced that 100 percent of its global electricity consumption for 2017 will be met with...more

ESMA Q&A on Trading Obligation for Shares Under MiFID II

The European Securities and Markets Authority (“ESMA“) published a press release on November 13, 2017 clarifying the application of the trading obligation for shares to trade certain instruments on-venue under the MiFID II...more

ECB Announces Support for Fintech Bank Applicants

by Latham & Watkins LLP on

On 15 November 2017, the European Central Bank (ECB) published a newsletter containing an article on how the ECB is dealing with the increasing number of fintech bank applications. The ECB is the banking supervisor, alongside...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Derivatives, CFTC and UK/EU Developments

by Katten Muchin Rosenman LLP on

BROKER-DEALER - FINRA Releases New Targeted Exam Letter Regarding Order Routing Conflicts - On November 10, the Financial Industry Regulatory Authority released the contents of a new Order Routing Conflicts targeted...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

As retailers do all they can to fight the e-commerce wave, some bricks-and-mortar shops are experimenting with a rather counterintuitive strategy: smaller spaces and a showroom-style approach....more

Blockchain Energizer – Volume 17

by K&L Gates LLP on

There is a lot of buzz around blockchain technology and its potential to revolutionize a wide range of industries from finance and health care to real estate and supply chain management. Reports estimate that over $1.4...more

Day 14 of One Month of 360 Degrees of Communication in Compliance- Twitter and 360 Degrees of Communication

by Thomas Fox on

One of the ways that CCOs and compliance practitioners can better use 360-degrees of communication is through Twitter. In “How Twitter Users Can Generate Better Ideas”, authors Salvatore Parise, Eoin Whelan and Steve Todd...more

FCPA Compliance Report-Episode 358, a Compliance Smorgasbord

by Thomas Fox on

In honor of the Thanksgiving Holidays which will be soon upon us, this week we have a bit of a compliance smorgasbord of topics. I was recently in London and had the opportunity to sit down to be interviewed by Jonathan...more

Are You a Money Transmitter in Connecticut? In Hawaii?

by Morrison & Foerster LLP on

As we have noted previously, one of the defining aspects of the payments revolution of the past few years—at least from a regulatory perspective—has been the question of whether a particular payments service is subject to...more

FinTech Alert: Financial Services Companies Rank High among Industries Seeking Blockchain Patents

by Blank Rome LLP on

Action Item: As blockchain continues to expand its reach into more industries, one industry in particular—financial services—is exploring innovative uses for the technology, especially in the area of payment processing....more

October 2017: International Trade Update

The Legal Implications of the Use of Blockchain in International Trade. What has become popularly known as “blockchain” is a form of Distributed Ledger Technology (“DLT”). At its core, blockchain is for electronic...more

ESMA Highlights EU Regulatory Rules Applicable to ICOs

by Latham & Watkins LLP on

ESMA has published two statements highlighting ICO risks for investors and EU regulatory rules applicable to issuers and advisors involved with ICOs. The European Securities and Markets Authority (ESMA) published two...more

CFPB's Financial Data Sharing Principles Impose New Burdens On Financial Institutions

by Pepper Hamilton LLP on

The Consumer Financial Protection Bureau (CFPB) recently published nine “principles” and an accompanying “insights” report regarding consumers who have authorized financial data sharing and aggregation (especially with...more

Every bit counts: Could Blockchain be a solution for e-mobility?

by Hogan Lovells on

Does blockchain technology open up new avenues in the field of electromobility? Can decentralized processes that are controlled by a large network be used to convert individual mobility on the road to electrified vehicles and...more

Day 13 of One Month to 360 Degrees of Communication in Compliance- Asking Questions to Boost Your Compliance Program

by Thomas Fox on

Other than the skill of listening, asking questions is about as important to the compliance practitioner as any other that can be employed. Yet, equally critical is to ask the right question....more

Financial Services Weekly News - November 2017 #3

by Goodwin on

Editor's Note - A Rare Example of Common Sense From Washington. On November 13, Senate Banking Committee Chairman Mike Crapo (R-Idaho) and four Democratic members of the committee announced an agreement on legislative...more

US Securities and Exchange Chairman Jay Clayton Raises Concerns About Virtual Currency Offerings

by Shearman & Sterling LLP on

US Securities and Exchange Chairman Jay Clayton raised concerns about virtual currency offerings or so-called initial coin offerings. He noted that ICOs are similar to securities offerings by firms required to register with...more

Asset Management Regulatory Roundup - November 2017 - Issue 10

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on the amendments to the European Venture Capital and Social Entrepreneurship Fund...more

Day 12 of One Month to 360 Degrees of Communication in Compliance- Communicating Across Cultural Boundaries

by Thomas Fox on

A 360-degree approach to communications entails looking at all forms of interactions as a way to interconnect. This means both verbal and non-verbal and in clues, hints in addition to directly. This concept can be...more

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