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FCPA Compliance and Ethics Report-Episode 255-revising your Code of Conduct
Compliance into the Weeds-Episode 7-meta data for your dashboard
Cyber Security - Data Breach Notifications
FCPA Compliance and Ethics Report-Episode 254 use of social media in a best practices compliance program
FCPA Compliance and Ethics Report-Episode 253-Loren Steffy reflects on the Enron, the trials of Ken Lay and Jeff Skilling and corporate culture
The Insider Trading Cartoon Series, Vol. VIII — Negligence?
The Insider Trading Cartoon Series Vol. VII -- Misappropriation Theory (Part the Third)
Compliance into the Weeds-Episode 6, goodwill and compliance
Employment Law This Week: Trade Secrets, Banker Bonus Restrictions, Musicians Are Employees, Misclassification Violates NLRA
Compliance into the Weeds-Episode 5, BP, Executive Pay and Compliance
This Week in FCPA-Epiode 1
The Pepper Minute: Buying and Selling the S Corporation
FCPA compliance and Ethics Report-Episode 249-Reflections on Cuba, with Adam Turteltaub
Collective Investment Trusts as Retirement Plan Investment Options: Important Tax and ERISA Considerations
FCPA compliance and Ethics Report-Episode 248-Risk Assessments under the FCPA
FCPA Compliance and Ethics Report-Episode 245-Michael Bassett from Conference Executive Board Canada
FCPA Compliance and Ethics Report-Episode 243-Lessons Learned from Olympus and Qualcomm FCPA Enforcement Actions
Securities Regulation and Class Action Trends in Canada
FCPA Compliance and Ethics Report-Episode 242-setting the tone at the top
FCPA Compliance and Ethics Report-Episode 239-Jonathan Armstrong on EU Privacy Shield
New evidence uncovered by the digital security firm Symantec suggests that the recent series of Swift-based bank hacks may be linked to North Korea in what "appears to be the first known case of a nation using digital attacks...more
Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management...more
U.S. Securities and Exchange Commission ("SEC") Chair Mary Jo White confirmed Tuesday that cyber security is the biggest risk currently facing the financial system. Her strong warning of the threat posed by hackers follows...more
The Law Society responds to ESMA's EU MAR consultation -
The Law Society has published the Law Society and City of London Law Society Company Law Committees Joint Market Abuse Working Party's response to ESMA's...more
Given the security industry's increased use of information technology and the constant evolution of cyber threats, cybersecurity will continue to demand significant attention from regulators and industry participants in the...more
The chair of the U.S. Securities and Exchange Commission warned that cybersecurity is the biggest risk facing our financial system today. At an industry conference yesterday, SEC Chair Mary Jo White said that major...more
Industry associations agree cyber principles -
ISDA, the European Banking Federation and the Global Financial Markets Association have published a set of common principles they hope will encourage effective global policy...more
Privacy and data security concerns are among the most critical issues facing investment funds, advisors and managers (collectively, "investment firms"). This article outlines the privacy and data security challenges...more
I've long thought that sending faxes was a pretty silly means of communication. Don't send me a fax. I don't want it. At some point I'm hoping that even my kids' doctor's office will get dragged into the 20th century and...more
Long Term Care Provider Data Targeted and Held Hostage by Malicious Software -
Long Term Care (LTC) facilities are increasingly targeted by criminals who seek to profit by infecting LTC computer systems with ransomware. ...more
Blockchain technology, introduced as the magic behind Bitcoin, is being touted by many as the next major disruptive innovation – in global trade and way beyond.
At its core, Blockchain shifts the accounting function...more
The CFPB Takes First Enforcement Action Related to Data Security Practices.
Class Certified in Unique Fixed Indexed Annuity Case.
Alleged Misrepresentations to DFS Warrant...more
In September, we reported that the Securities and Exchange Commission (SEC) settled charges against a registered investment adviser for a violation of Rule 30(a) of Regulation S-P (17 C.F.R. 248.30(a))("Safeguards Rule") for...more
On April 29, 2016, the Council of Institutional Investors (CII) published its new Special Report, Prioritizing Cybersecurity: Five Investor Questions for Portfolio Company Boards.
ESAs finalise proposal for RTS on KIDs for PRIIPs -
The Joint Committee of the ESAs has finalised its proposal for regulatory technical standards (RTS) on key information documents (KIDs) for packaged retail and...more
Companies need specific, well-executed plans to meet growing demands of federal and state agencies.
While cybersecurity risks have increased, government regulation has traditionally lagged behind. Recently, some...more
Some interesting links we found across the web this week: -
Startup Funding Deals Fall to Lowest Level in Four Years -
The Q1 numbers came in this week and they're not pretty, showing the fewest total venture...more
SEC Enforcement -
Andrew Ceresney, head of the SEC's Division of Enforcement confirmed during a panel discussion at the Investment Company Institute's Mutual Funds and Investment Management Conference in Orlando, Fla.,...more
Recently, attorneys from K&L Gates' Government Enforcement practice group attended the Securities Industry and Financial Markets Association's ("SIFMA") Compliance and Legal Society Annual Seminar. We wanted to share with you...more
The FBI has issued a Private Industry Notification to law firms indicating that a cyber crime insider trading ring is targeting "international law firm information used to facilitate business ventures." According to the FBI...more
Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. SEC, FINRA...more
John Thain's golden parachute got knocked down a few karats this week, with CIT Group cutting 30% off of his farewell bonus for failing to "successfully integrate OneWest, the California bank CIT bought last year for $3.4...more
Financial services firm Raymond James Financial Services Inc. (Raymond James) has agreed to settle an investigation by the Financial Industry Regulatory Authority (FINRA) for $500,000. The investigation stems from allegations...more
Regulatory Developments -
MSRB Publishes Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers -
The MSRB recently published its first Compliance Advisory for Brokers, Dealers and Municipal...more
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