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Securities Energy & Utilities

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.

Blockchain in Energy – Where Do We Stand? Where Do We Go From Here?

For all the publicity generated by the recent increase in value of Bitcoin, as well as the generally increasing awareness of the existence of blockchain technology, the recent Blockchain in Energy Forum 2018 held in New York...more

Episode 28 -- Due Diligence and Third-Party Risk Management (Part I of III)

by Michael Volkov on

Companies continue to face significant risks from their third parties.  In response, companies are implementing sophisticated due diligence and third party risk management systems.  FCPA enforcement risks are only one of...more

Investment Outlook 2018: Transaction and deal trends in the GCC

by Hogan Lovells on

Gulf economies and markets have transformed in many ways in response to three years of low oil prices, new regional leadership and a global world order in flux. The tougher fiscal environment and renewed drive to implement...more

The Need for Corporate Board Reform

by Michael Volkov on

The growth in ethics and compliance has had a dramatic impact on corporate actors, including the CEO, chief compliance officers, internal audit and chief financial officers. The corporate board's role in compliance continues...more

The Year in Bankruptcy: 2017

by Jones Day on

The initial year of the Trump administration colored much of the political, business, and financial headlines of 2017, both in the U.S. and abroad. Key administration-related developments in 2017 included U.S. withdrawal from...more

The Belt and Road Initiative in 2018

by DLA Piper on

China’s Belt and Road Initiative (also known as the "One Belt One Road" initiative) was first introduced by President Xi Jinping in September and October 2013. As the initiative has developed over the last 4 years, we have...more

Renewable Energy and Clean Technology Initial Public Offering Checklist

by Bennett Jones LLP on

Canada’s world leading renewable energy and clean technology capital markets offer a wealth of opportunity, with their access to local and global natural resources, finance opportunities for companies at all stages, and...more

Mining Initial Public Offering Checklist

by Bennett Jones LLP on

Canada’s world leading mining capital markets offer a wealth of opportunity, with their access to local and global natural resources, finance opportunities for companies at all stages, and sophisticated technical know-how....more

Episode 23 -- Tom Fox Interview 2017 FCPA Year in Review

by Michael Volkov on

Tom Fox rejoins Corruption, Crime & Compliance for a 2017 FCPA Review. Tom discusses important trends and events from 2017 in FCPA enforcement and compliance. Tom is the thought-leader on FCPA and compliance issues. He...more

OFAC Warns that Venezuela’s Proposed Digital Currency May Violate U.S. Sanctions

by Perkins Coie on

On January 19, 2018, the U.S. Office of Foreign Assets Control (OFAC), in response to a question, warned that a U.S. person’s acquisition of, or dealing in, a cryptocurrency that Venezuela intends to issue in the future may...more

Episode 22 -- Test and Evaluate Your Ethics and Compliance Program

by Michael Volkov on

As more companies implement ethics and compliance programs, chief compliance officers are increasingly focusing on the need to test and evaluate their compliance program. An effective testing program provides important...more

Interview of Jean-Michel Ferat, FCPA Expert, Senior Director, Ankura Consulting

by Michael Volkov on

Jean-Michel Ferat, a leading FCPA Forensic Accountant, and Senior Managing Director at Ankura Consulting, joins Michael Volkov, in Episode 21 of the Podcast, Corruption Crime & Compliance. Jean-Michel Ferat is a leading...more

Status Check on the SEC’s Proposed Overhaul of the Mining Disclosure Regime

by Dorsey & Whitney LLP on

About 18 months have passed since the U.S. Securities and Exchange Commission (SEC) published its bold attempt to modernize the disclosure requirements for mining companies that are listed on U.S. stock exchanges or otherwise...more

Episode 15 -- The Justice Department's New FCPA Corporate Enforcement Policy

by Michael Volkov on

On November 26, 2017, the Justice Department announced adoption of its new FCPA Corporate Enforcement Policy.  Deputy Attorney General Rod Rosenstein announced the new policy at an FCPA Conference in Washington, D.C. Under...more

Energy and infrastructure project bankability in Africa: making the right choices

by DLA Piper on

During Africa Week, and in association with FTI Consulting Inc., and along with many friends and associates, we explored the myriad of factors influencing investment decisions in energy and infrastructure project success in...more

FCPA Compliance Report-Episode 361, Don Fischer on export control compliance

by Thomas Fox on

In this episode, I visit with Don Fischer, a San Francisco and Washington, based lawyer who is one of the country’s leading practices dedicated to assisting corporations, universities and research institutions with the...more

Financial Services Weekly News - December 2017

by Goodwin on

Editor's Note - We Don’t Need No Stinking Badges. In 2013, former financial advisor, Raymond Lucia, was fined and barred from the industry by the Securities and Exchange Commission (SEC) for material misrepresentations to...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Blue Apron co-founder Matt Salzberg is following the Steve Ells path of stepping aside as CEO after recent struggles. In Blue Apron’s case, the company’s never really recovered from the rough patch that started not long after...more

Stanford Report Argues Clean Energy Investment Must Triple to Halt Catastrophic Global Warming

The global economy must triple its annual investment in low-emissions technology, from $750 billion per year between 2010 and 2015 to $2.3 trillion per year going forward until 2040, to keep the planet under 2 degrees Celsius...more

Seven Individuals Charged with FCPA Criminal Violations

by Michael Volkov on

In a watershed week for FCPA enforcement, the US Department of Justice announced FCPA criminal charges against seven individuals. Specifically, the Justice Department announced four guilty pleas and one indictment as follow...more

House Committee Approves Bills that Would Repeal Conflict Minerals and Mine Safety Disclosure Requirements

by White & Case LLP on

On November 15, 2017, the House Financial Services Committee (the "Committee") approved two pieces of legislation that would repeal the conflict minerals and mine safety and health disclosure requirements promulgated under...more

Nuclear Decommissioning and Legal Risk

by Latham & Watkins LLP on

Entities engaged in decommissioning can assess and allocate associated legal risks in predictable ways. Key Points: ..With proper legal diligence and planning, the liability risks associated with nuclear decommissioning...more

The Perils of Compliance with the Russia Sanctions Program

by Michael Volkov on

The Ukraine-Russia Sanctions program is a complex set of executives orders, statutes and regulations defining prohibited business transactions with Russian entities and individuals. The sanctions program was instituted in...more

Corruption Crime and Compliance Podcast Episode 2 -- Ethics and Profits

by Michael Volkov on

With the increased focus on corporate culture, chief compliance officers have to educate the board and senior management on the inextricable link between an ethical culture and financial profitability. In this episode of...more

FERC Holds Certain Passive Equity Interests in Public Utilities Are “Non-Voting Securities” for Purposes of Section 203 of the...

On October 4, 2017, in a decision with significant implications for the energy project finance community, the Federal Energy Regulatory Commission (FERC or the “Commission”) granted a petition for declaratory order filed by...more

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