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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

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

Best Practices in Structuring Initial Coin Offerings

by Morgan Lewis on

A carefully drafted White Paper can increase transparency and buyer confidence while minimizing reputational harm and legal liabilities against the offeror....more

Frequently Asked Questions on Virtual Currency and CFTC Jurisdiction

On October 17, 2017, the Commodity Futures Trading Commission’s (CFTC) newly formed financial technology (fintech) innovation group, LabCFTC, released its first fintech primer, “A CFTC Primer on Virtual Currencies” (VC...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

Initial Coin Offerings (ICOs) May Be Subject to SEC Registration Requirements

by Bryan Cave on

Initial Coin Offerings (ICOs) and other digital currency financing events have enjoyed explosive growth in 2017, with hundreds of millions of dollars invested with little to no regulation or government oversight. That era...more

LabCFTC Releases Primer on Virtual Currencies without Broadly Addressing Blockchain Tokens

by McDermott Will & Emery on

On October 17, 2017, the Commodity Futures Trading Commission’s LabCFTC released “A CFTC Primer on Virtual Currencies.” The Primer provides an overview or virtual currencies and their potential uses, discusses the role of...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

Becoming a Unicorn Fintech by Shoring Up Intellectual Property

Investment in fintech companies is at an all-time high. “Unicorns” are start-ups that have valuations of more than 1 billion dollars. The majority of the unicorns are in the fintech industry. Fintech companies are often agile...more

CFPB Releases Principles for Financial Services Industry for Sharing Data

The Consumer Financial Protection Bureau(CFPB) recently issued principles for the access and disclosure of sensitive date in the financial services industry. The CFPB referred to the guidelines as principles instead of...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

OCC’s Noreika Continues Conversation on Innovation, Fintechs

Acting Comptroller of the Office of the Comptroller of the Currency (OCC) Keith Noreika continued speaking out on changes in the financial services industry—and the potential for fintech charters—in recent remarks....more

State Regulations On Virtual Currency And Blockchain Technologies

by Carlton Fields on

As of this inaugural publication, there exists no uniformity with respect to how businesses that deal in virtual currencies (also known as “cryptocurrencies”) such as Bitcoin are treated among the states. For these...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

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