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

Bitcoin: Where Speculation (Likely) Meets Securities Regulation

by Murtha Cullina on

Recently, Bitcoin and other crypto-currencies have been widely reported in national mainstream news, with stories describing rapidly higher prices and interest, especially among retail investors. As a result, regulated...more

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

Across the Board-Episode 10 Sheila Hooda on Board Culture

by Thomas Fox on

In this episode, I visit with Sheila Hooda on culture on a Board of Directors and how Boards can drive culture throughout an organization. Some of the topics we highlight are the following: 1. What is good Board culture?...more

SEC Charges Firm Selling Digital Coins With Sale of Unregistered Securities

by Dorsey & Whitney LLP on

The creation of a unique digital coin or token such as Bitcoin, Ether or fiat currency tied to blockchain or cryptographically-secured ledger has become a controversial but expanding form of payment in some circles. Some...more

Top 10 Topics for Directors in 2018

EXECUTIVE SUMMARY - 1. Cybersecurity threats. Cybersecurity preparedness is essential in 2018 as the risk of, and associated adverse impact of, breaches continue to rise. The past year redefined the upward bounds of the...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

Does the ICO Open a New Chapter for RE Crowdfunding?

by Dechert LLP on

Back in July of 2015, we blogged about “Current Marketplace Trends in Real Estate Crowdfunding”. How young and breathless we were, in hindsight, now that we’re tapped into the Next Big ICO thing. Yes, the “fintech” world...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

Move Aside EPA, The SEC Is Now Regulating Ecosystems!

by Allen Matkins on

I don’t hear many securities lawyers talking about “ecosystems”. Indeed, I think of the word as being more the province of environmental lawyers. The word itself is an amalgamation of two Greek words – ?????, meaning house,...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

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

Five Things to Know About ICOs

by WilmerHale on

Initial coin offerings or similar types of sales of virtual-based coins and tokens, are quickly becoming an important fundraising tool for many early-stage companies. Last month, our QuickLaunch University webinar series...more

Day 6 of One Month to Better Written Standards- Training on Your Code of Conduct

by Thomas Fox on

What about the training on your finalized Code of Conduct? While there have been criticisms of Code of Conduct training, if you consider training as one source of your 360-degrees of compliance communications, the rollout of...more

This Week in FCPA-Episode 79, the Fire and Ice Edition

by Thomas Fox on

Jay and I return for a wide-ranging discussion on some of the top compliance and ethics related stories of the week, in this week's fire and ice edition: 1. Former VW Engineer Oliver Schmidt sentenced to 7 years in jail...more

The SEC’s Cyber Unit Files Its First Complaint Against an “Initial Coin Offering”

by Burr & Forman on

Implemented in September, the Securities Exchange Commission’s (“SEC”) Cyber Unit has brought its first enforcement action against an “Initial Coin Offering” (“ICO”) called PlexCoin. ICOs, which are listed on digital...more

Day 4 of One Month to Better Written Standards– Code of Conduct: Structure and Format

by Thomas Fox on

Next, the evolution of the structure and format of a best practices Code of Conduct. Initially, my experience with Codes of Conduct was that they were written by lawyers, largely for lawyers. This included ‘thou shalts’ and...more

Examples of the SEC’s New Focus on Retail Customers and Cyber

by Dorsey & Whitney LLP on

The Commission’s Enforcement Division under Chairman Clayton is focusing on retail investors and cyber. Two actions brought over the last two business days serve to highlight this focus, including the first brought by the new...more

Compliance Report International Edition-Compliance Man Goes Global, Episode 6

by Thomas Fox on

Welcome to Episode 6 of Compliance Man Goes Global podcast of FCPA Compliance Report International Edition. In this episode, we will focus on typical concepts (or probably myths) on Know Your Client -probably the most...more

FCPA Compliance Report-Episode 360, James Koukios on New FCPA Corporate Enforcement Policy

by Thomas Fox on

In this episode, I visit with Morrison and Foerster partner James Koukios on the Department of Justice (DOJ) new policy regarding Foreign Corrupt Practices Act (FCPA) enforcement. Last week, Deputy Attorney General Rod...more

Day 2 of One Month to Better Written Standards-Clearly Articulated Written Standards

by Thomas Fox on

The cornerstone of a best practices compliance program is its written standards. These include a Code of Conduct, policies and procedures. These requirements have long been memorialized in the US Federal Sentencing Guidelines...more

Day 3 of One Month to Better Written Standards-Introduction to the Code of Conduct

by Thomas Fox on

What is the value of having a Code of Conduct? I have heard many business folks ask that question over the years. In its early days, a Code of Conduct tended to be lawyer-written and lawyer-driven to wave in regulator’s...more

Day 1-Introduction of Best Practices Written Standards for Compliance

by Thomas Fox on

In this first podcast of the December edition of my One Month to a More Effective Compliance Program series, I introduce written standards. ...more

Day 1 of One Month to Better Written Standards in a Compliance Program-Introduction to December

by Thomas Fox on

The cornerstone of any best practices compliance program is written protocols. This includes a code of conduct policies and procedures. These elements have long been memorialized in the U.S. sentencing guidelines. The...more

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