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

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

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

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

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

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

SEC Enforcement Division Priorities Pertaining to Retail Investors and Cybersecurity

by Dechert LLP on

In a keynote speech to the Securities Enforcement Forum on October 26, 2017, U.S. SEC Division of Enforcement (Division) Co-Director Stephanie Avakian emphasized the protection of retail investors and cybersecurity as...more

FAQ: What Businesses Need to Know About Investment Crowdfunding

by Ward and Smith, P.A. on

What is Crowdfunding? Crowdfunding is a marketing tool that businesses use to obtain capital from a large number of individuals, typically over the Internet....more

Upending Trade Finance through Blockchain Technology

Trade finance, in both domestic and international financial transactions, is often utilized when one company seeks to import a shipment of goods from a supplier (or exporter). These transactions comprise an enormous amount of...more

WSGR Fintech Update - November 2017

Wilson Sonsini Goodrich & Rosati is pleased to present the November 2017 issue of the WSGR Fintech Update. This latest edition features an article discussing CFTC guidance on virtual currencies, as well as an article on a...more

SEC Chair’s Remarks at PLI’s 49th Annual Institute on Securities Regulation

On November 8, 2017, to mark the opening of the Practising Law Institute’s 49th Annual Institute, SEC Chair Clayton gave a keynote address focused on governance and transparency, which was a surprising direction since the...more

FinTech Alert: Six Weeks of CFTC and SEC Action in the Digital Currency Space

by Blank Rome LLP on

Action Item: Over the last six weeks, the Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) have taken rigorous action in the digital currency space, demonstrating that they will...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

A Review of Initial Coin Offerings and What They Mean for the Institutional Investor Community (PPT Slides)

by Pepper Hamilton LLP on

Pepper partner Gregory J. Nowak hosted an Investment Management Update webinar for West LegalEdcenter. Recent reports have noted that Initial Coin Offerings (ICOs) have raised more investor capital than venture and angel...more

A Review of Initial Coin Offerings and What They Mean for the Institutional Investor Community

by Pepper Hamilton LLP on

Pepper partner Gregory J. Nowak hosted an Investment Management Update webinar for West LegalEdcenter. Recent reports have noted that Initial Coin Offerings (ICOs) have raised more investor capital than venture and angel...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

A look at how Blockchain could redefine the structure of the capital markets

by Hogan Lovells on

Could blockchain redefine the structure of the capital markets? The venue for trading and the management of risks of trades have traditionally been the role of exchanges and market infrastructure organizations such as the...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

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