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

Day 11 of One Month to Better Written Standards- Policies and Procedures on Travel

by Thomas Fox on

Prior to the 2012 FCPA Guidance, the Justice Department issued two 2007 Opinion Releases which offered guidance to companies considering whether to, and if so how to, incur travel and lodging expenses for government...more

CFTC Staff Grants Time-Limited Extension of Swap Data Reporting Relief for Certain Swap Dealers and Major Swap Participants...

On November 30, 2017, the U.S. Commodity Futures Trading Commission‘s (“CFTC“) Division of Market Oversight announced in a no-action letter that it had extended relief it provided certain CFTC-registered swap dealers (“SD“)...more

Financial Services Weekly News - December 2017 #2

by Goodwin on

Editor's Note - Attack of the State AGs. On December 12, New York Attorney General Eric T. Schneiderman and 16 other state attorneys general (State AGs) sent a letter to President Trump arguing that past statements by Mick...more

Financial Regulatory Developments Focus - December 2017 #2

by Shearman & Sterling LLP on

In this week's 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...more

CFIUS for Europe? New Screening of Foreign Direct Investments in Europe

On September 13, 2017, the EU Commission released a proposed regulation establishing a framework for screening Foreign Direct Investments (FDI) in Europe. Several EU Member States have already implemented national mechanisms...more

Digital Realty Trust, Inc. v. Somers Oral Argument Recap

As we have previously noted here, in Digital Realty Trust, Inc. v. Somers, the United States Supreme Court will decide how to interpret the term “whistleblower” under the Dodd-Frank Act, and how to apply the term to the Act’s...more

The Financial Report, Vol. 6, No. 22

by DLA Piper on

Discussion and Analysis - As we draw toward the close of another year, we always like to take a moment to reflect. This is our last issue of 2017, our sixth year of publication. It hardly seems possible it has been that...more

State Aid in Disguise?—EC Investigates UK Tax Regime

by Jones Day on

The Background: The European Commission has opened an in-depth investigation into a specific provision of the UK-controlled foreign company rules. The Issue: The Commission will investigate whether the UK's so-called Group...more

Preparing for the 2018 Public Company Reporting Season

by Perkins Coie on

In anticipation of the upcoming annual report and proxy season, we are highlighting new requirements and trends for public companies in 2018....more

Day 9 of One Month to Better Written Standards-Revising Your Policies and Procedures

by Thomas Fox on

Simply having a Code of Conduct, together with compliance policies and procedures is not enough. As articulated by former Assistant Attorney General Lanny Breuer, “Your compliance program is a living entity; it should be...more

Compliance into the Weeds-Episode 62, Sentencing of VW Employee Oliver Schmidt

by Thomas Fox on

As many of you all know, Matt Kelly can rant with the best of them, right up there with Howard Sklar. I was quite intrigued when I read Matt’s December 11, 2017 blog post entitled, “At What Cost Dishonesty? For VW Exec, Seven...more

Overview of New European Money Market Fund Regulations

by Dechert LLP on

As a result of the 2008 financial crisis, and to help make money market funds (“MMFs”) more resilient to the potential for heavy redemptions in times of stress, the European Commission issued a proposal for a regulation on...more

The Best Defense Is A Good Offense: FCPA Corporate Enforcement Policy Cements Importance Of Compliance Programs

The Department’s revised FCPA Corporate Enforcement Policy—which will be incorporated into the United States Attorneys’ Manual—builds on and makes permanent the Department’s 2016 FCPA Pilot Program....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

New Revenue Recognition Standard-Part III, Shaking Up the Software Industry?

by Thomas Fox on

Matt Kelly and I have put together a five-part podcast series where we explore implications of this new revenue recognition standard. Each podcast is short, 11-13 minutes and deals with one topic on the new revenue...more

Japan's FSA Clarifies Regulatory Position on Initial Coin Offerings, Warns of Risks

by Jones Day on

The Situation: The Financial Services Agency of Japan ("FSA") has released a statement on initial coin offerings ("ICOs"). It clarifies the regulatory position of ICOs under Japanese law and also highlights potential risks to...more

SEC Issues $4.1 Million Award to Overseas Whistleblower

On December 5, 2017, the SEC announced a whistleblower award of more than $4.1 million to an overseas former company insider. The SEC declined to disclose the identity of the whistleblower or the company at issue...more

Corporate and Financial Weekly Digest, Featuring Topics on SEC/Corporate; Broker-Dealer; Derivatives; CFTC; UK, EU and Brexit...

by Katten Muchin Rosenman LLP on

BROKER-DEALER - FINRA Requests Further Comments on the Effectiveness and Efficiency of Its Payments for Market Making Rule - On November 28, as part a retrospective rule review, the Financial Industry Regulatory...more

In Case You Missed It: Launch Links - December, 2017

by WilmerHale on

Some interesting links we found across the web this week: Is Your Startup Prepared for the GDPR? - During last month’s QuickLaunch University webinar, Partners Dr. Martin Braun and Dave Gammell discussed data privacy...more

Luxembourg transparency registers: soon a reality!

by Dentons on

On 6 December 2017, two Bills of Law which will implement articles 30 and 31 of the Directive (EU) 2015/849 of the European Parliament and the Council of 20 May 2015 on the prevention of the use of the financial system for...more

New Revenue Recognition Standard-Part I, Introduction

by Thomas Fox on

In May 2014, the Financial Accounting Standards Board (FASB) issued Accounting Standards Update No. 2014-09, Revenue from Contracts with Customers (Topic 606) for public business entities, certain not-for-profit entities, and...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

Day 7 of One Month to Better Written Standards– Operationalization of Your Code of Conduct

by Thomas Fox on

How can you work to operationalize the Code of Conduct as articulated in the Department of Justice (DOJ) Evaluation of Corporate Compliance Programs? The Evaluation focuses not on whether a company has a paper compliance...more

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

October and November Developments

by Sullivan & Worcester on

For the first time in my memory, the Congress passed a joint resolution to disapprove a final regulation of a federal agency—in this case the CFPB and the rule was related to arbitration clauses in contracts for consumer...more

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