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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

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

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

Day 11 of One Month to 360 Degrees of Communication in Compliance- Multiplying the Influence of Compliance

by Thomas Fox on

What if you could multiple the impact and effectiveness of your compliance program throughout your company? That would be a great boon to any compliance practitioner and compliance program. It is also something that is very...more

Compliance Report-International Edition, Compliance Man Goes Global, Episode 5

by Thomas Fox on

Welcome to Episode 5 of Compliance Man Goes Global podcast of FCPA Compliance Report International Edition. In this episode, we focus on typical concepts (or probably myths) of ways a Compliance professional might become a...more

Regulatory Sandboxes - a Global Stocktake

by Latham & Watkins LLP on

Regulatory sandboxes are becoming a global trend, providing plenty of opportunities for innovative businesses. Pioneered in the UK as part of the Financial Conduct Authority’s (FCA) “Project Innovate”, a regulatory sandbox...more

National security reviews 2017: A global perspective — European Union

by White & Case LLP on

European investment screening "light" — first steps towards European investment controls - Due to the significant increase of foreign direct investment into European technology assets over the past 18 months, particularly...more

Saudi Arabian Corruption Crackdown-What does it mean for Compliance?

by Thomas Fox on

In this episode, I am interviewed by Jonathan Armstrong, a partner at Cordery Compliance in London on the implications of the Saudi Arabian corruption crackdown for the compliance practitioner....more

Day 9 of One Month to 360 Degrees of Communication in Compliance- 360 Degrees of Persuasion

by Thomas Fox on

The life of a Chief Compliance Officer (CCO) can be intense and the one of the most powerful tools you have is persuasion. Jenny O’Brien, CCO at United Health Care, has talked about the techniques that a CCO can use to...more

FCPA Compliance Report-Episode 357, Paradise Papers and Saudi Arabia Corruption Crackdown

by Thomas Fox on

In this episode, I am interviewed by Jonathan Armstrong, a partner at Cordery Compliance in London on the implications of the Paradise Papers and Saudi Arabian corruption crackdown for the compliance practitioner. What...more

German Federal Financial Supervisory Authority (BaFin) Publishes Circular on Regulatory Requirements for Financial Institutions’...

by Reed Smith on

On 3 November 2017, the German regulator for the financial sector, the Federal Financial Supervisory Authority (“BaFin”), published a new circular titled Rundschreiben 10/2017 (BA) vom 3. November 2017 – Bankaufsichtliche...more

GDPR for pension schemes - a practical guide

by Hogan Lovells on

Data protection law is undergoing radical change that is impacting employers and trustees of pension schemes and all service providers to them. With effect from 25 May 2018 the European General Data Protection Regulation...more

12 O'Clock High-Episode 65, The First 100 Days as a New CCO

by Thomas Fox on

Imagine that you finally have been able to secure a new position as Chief Compliance Officer in the compliance field. Every company believes that they are ethical and that they certainly do business ethically but what are...more

Europe as a Hub for Initial Coin Offerings?

by Latham & Watkins LLP on

Initial coin offerings (ICOs) involve issuers offering virtual coins or tokens that are created and disseminated using blockchain or distributed ledger technology. Virtual coins resemble cash in a number of ways but may also...more

Compliance Report-International Edition: Adam Davidson

by Thomas Fox on

In this episode, I have New Yorker writer and reporter Adam Davidson on his recent article entitled, "Piercing the Veil of Secrecy Shrouding the Trump Deal in the Republic of Georgia." In this article, Davidson looks at some...more

Day 5 of One Month to 360 Degrees of Communication in Compliance- Sharing to 360 Degrees of Communication

by Thomas Fox on

Why do people share information? The answer to that question has important implications for every compliance practitioner and compliance program. In the context of 360-degrees of communication, the sharing of information, was...more

FCPA Compliance Report-Episode 356-Executives at Risk with Lauren Briggerman and Dawn Murphy Johnson

by Thomas Fox on

In this episode, I visit Lauren Briggerman and Dawn Murphy-Johnson on the Fall 2017 issue of Executives at Risk. It is newsletter put out by the law firm of Miller & Chevalier, where they both work....more

Initial Coin Offerings—A Singapore Perspective

by Jones Day on

As interest continues to grow in virtual currencies, blockchain technology and initial coin offerings, governments are evaluating the benefits and potential risks of these innovations, while considering numerous regulatory...more

Day 4 of One Month to 360 Degrees of Communication in Compliance- Using Social Media to Innovate in Compliance

by Thomas Fox on

I am a huge fan of using social media in your compliance function. But how can you get your arms around how to structure such a program for their company? In an article in the MIT Sloan Management Review, entitled “Finding...more

This Week in FCPA-Episode 75, the World Series Champs Edition

by Thomas Fox on

Jay and I return for a wide-ranging discussion on some of the top compliance and ethics related stories, including:   1. Astros win the 2017 World Series in seven games. 2. SEC names Charles Cain as head of FCPA...more

Brussels Regulatory Brief: October

by K&L Gates LLP on

On 6 September 2017, the Court of Justice, the European Union (“EU”)’s highest court, issued its much awaited decision in a case of abuse of dominance by a US microchip manufacturer using exclusivity or loyalty rebates, i.e....more

Abu Dhabi Financial Services Regulatory Authority Issues Guidance on Initial Coin Offerings

by Reed Smith on

Earlier this month, the Financial Services Regulation Authority of the Abu Dhabi Global Market joined the ranks of various regulatory agencies from countries, including Australia, Canada, and the United States that have...more

Blockchain Distributed Ledger Technology Approved for Nonlisted French Securities

by Jones Day on

The Situation: French authorities intend to amend securities laws to permit the use of blockchain technology. In March 2017, the French Treasury launched public consultation relating to the use of such technology and its...more

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