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1
Electronic Discovery & Information Governance - Tip Of The Month: Thinking About Explainable AI (XAI) And Litigation Defensibility
Machine learning algorithms and other applications of artificial intelligence are making more and more day-to-day business decisions.
United States
31 May 2019
2
Prospect For Innovation Or Dust From The Litterbox? The Public Sifts Through Product Sandbox
A catastrophic end to consumer protection to some, and a long overdue attempt to reconcile law with technology to others, former CFPB Acting Director Mick Mulvaney's parting gift stirred up the financial services industry.
United States
18 Mar 2019
3
President Trump Launches AI Strategy For Federal Government
On February 11, 2019, President Trump signed an "Executive Order on Maintaining American Leadership in Artificial Intelligence" (the "Order")
United States
4 Mar 2019
4
An Unconventional Circular Letter: NYDFS Provides The Nation's First Directive On The Proper Use Of Unconventional And Alternative Data
Last month, the New York State Department of Financial Services became the first US regulator to impose specific, substantive requirements on the use of "unconventional sources or types of external data" in financial services.
United States
20 Feb 2019
5
Bureau Proposes Improvements To Its No-Action Letter Process And A New Product Sandbox
Innovative companies face stiff challenges when trying to comply with moribund US consumer protection rules that have not kept pace with technological advancements in the financial services industry.
United States
4 Jan 2019
6
FinCEN Adds Virtual Currency To High-End Real Estate Reporting Regime
A perfect storm for AML risk can arise from (i) the use of legal entities to conceal ownership, (ii) the limited application of AML requirements to real estate transactions and (iii) the misuse of virtual currency...
United States
23 Nov 2018
7
If Only: US Treasury Department Report Creates A Wish Tree Of Financial Reform For Fintech
Regardless of whether its recommendations are achievable in whole or in part or merely aspirational, the US Department of Treasury's ("Treasury") report issued on July 30, 2018...
United States
10 Sep 2018
8
Commodity Futures Trading Commission Issues Advisory For Virtual Currency Pump-And-Dump Schemes
The purpose of this paper is to explain innocent actors in the virtual currency space (e.g. virtual currency exchanges, financial institutions, social media platforms) and how to avoid potential exposure...
United States
24 Aug 2018
9
Second Circuit Limits Use Of Section 1782 Discovery Against Law Firms
28 U.S.C. § 1782 ("Section 1782") is a powerful tool that allows litigants to obtain broad, US discovery to gather evidence for use in proceedings before non-US or international tribunals.
United States
19 Jul 2018
10
US Sanctions Developments Impacting Cuba, Russia And Iran
Below we examine the practical effects of these changes and how they may affect the US private sector's activities.
Worldwide
20 Jun 2017
11
Troubles With Ponzi Scheme Receivers: White Knights, Evil Zombies, And The Flight Of Icarus
In the wake of Ponzi schemes, federal courts often appoint receivers to recoup stolen money for the benefit of the defrauded investors.
United States
8 May 2017
12
Chinese Telecom Giant ZTE Makes History With Guilty Plea And $1.19 Billion Settlement For Sending US Export-Controlled Goods To Iran And North Korea
As part of the settlement, ZTE will remain under probation for an additional seven-year period and submit itself to active auditing and monitoring by the US government.
China
14 Mar 2017
13
No Violation Is Too Small And No Connection Is Too Attenuated To Escape US OFAC Scrutiny
Another case demonstrates the truly strict liability of US economic sanctions.
United States
23 Feb 2017
14
US Department of Justice and US Securities and Exchange Commission Bring Insider Trading Chargers Against Hackers Who Traded Using Stolen Press Releases
Federal grand juries in New Jersey and New York have indicted a total of nine individuals for allegedly violating the anti-fraud provision of the Securities Exchange Act ..
United States
28 Aug 2015
15
New York Department of Financial Services Cyber Security Examination
On December 10, 2014, the New York Department of Financial Services (NYDFS) issued a letter to banking institutions chartered or licensed in New York notifying them of an expansion of the NYDFS information technology examination procedures to focus on cyber security issues as an integral aspect of risk management.
United States
12 Dec 2014
16
"Separate Entity" Rule Alive and Well in New York
In a much anticipated decision, New York’s highest court, the Court of Appeals, confirmed on October 23, 2014, that the so-called "separate entity" rule continues to exist as a vibrant doctrine in the State of New York.
United States
28 Oct 2014
17
US Department of Justice Brings Its First Criminal Prosecution for Spoofing of Commodities Markets
A Chicago federal grand jury has indicted Michael Coscia, formerly a registered floor trader and sole owner of Panther Energy Trading LLC, for allegedly violating the anti-spoofing provision of the Commodity Exchange Act ..
United States
15 Oct 2014
18
Presumption Against Extraterritoriality in Morrison v. National Australia Bank Extended to Private Party Whistleblower Retaliation Cases
The US Court of Appeals for the Second Circuit has ruled that the presumption against extraterritoriality applies to private party actions under Section 21(h) of the Securities Exchange Act of 1934 ("Exchange Act").
United States
26 Aug 2014
19
New York State Department Of Financial Services Proposes A "BitLicense" Regulatory Framework For Virtual Currency Businesses
The New York State Department of Financial Services has released a proposed regulatory framework for New York virtual currency businesses.
United States
7 Aug 2014
20
US Securities And Exchange Commission Issues Final Rules Regarding The Application Of Security-Based Swap Intermediary Definitions To Cross-Border Security Based Swap Activity
The US Securities and Exchange Commission has adopted final rules regarding the cross-border application of certain security-based swap provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
16 Jul 2014
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