Category Archives: Financial Markets

The Five Pillars of Protection for Later Stage Investors

JONES DAY TALKS®: Five Pillars of Series A Shareholder Rights: A Discussion for VC Investors

Financial Markets, Venture Capital

The challenges and mechanics of growing a new venture are complex, and when the competing interests of different investor classes are considered, trouble and conflict are possible.

As part of a continuing series of podcasts on early stage and venture capital investing, Jones Day partners Tim Curry, Taylor Stevens, and Alex Wibaux discuss the “five pillars” Series A and later investors should understand to ensure their rights and interests are protected.

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The Evolution of Corporate Compliance Programs: Key Issues for Multinational Companies

JONES DAY TALKS®- The Evolution of Corporate Compliance Programs: Key Issues for Multinational Companies

ESG, Financial Markets, Health Care & Life Sciences, Investigations & White Collar Defense

Across every industry and every region of the world, corporate compliance programs have increasingly become an integral part of a company’s operations and procedures—and the trend shows no signs of slowing. In the first in a series of Jones Day Talks programs addressing topics related to corporate compliance programs, Jones Day lawyers Henry Klehm, Toni Citera, and Paloma Valor discuss the history of corporate compliance programs, the changing role of the compliance officer, challenges for multinational companies, the importance of technology, and how the compliance function can effectively partner with other parts of the organization to help mitigate risk and achieve business objectives.

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JD-Talks-Fundamental-Review-of-the-Trading-Book

JONES DAY TALKS®: Preparing for FRTB – What Banks Should Know

Financial Markets, , , , , ,

First introduced following the 2008 global financial crisis, the Fundamental Review of the Trading Book (FRTB) was designed to establish worldwide rules pertaining to banks’ regulatory capital requirements as they apply to trading activities. Jonathan Gould and Josh Sterling talk about the changes proposed by FRTB, how those changes address specific problems, and what banks should do now.

Read the full transcript on the Jones Day website.

 

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UCC Proposed Amendments Address Crypto and Other Digital Assets

JONES DAY TALKS®: UCC Proposed Amendments Address Crypto and Other Digital Assets

Financial Markets

Jones Day partner Kim Desmarais discusses the Uniform Law Commission’s and American Law Institute’s proposed amendments to the Uniform Commercial Code (UCC), and their potential impact on commercial transactions involving digital assets and other emerging technologies.

Read the full transcript on the Jones Day website.

 

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JONES DAY TALKS®: All Talk, No Action? The Fintech Regulatory Plot Thickens

Financial Markets, Fintech

Jones Day’s new Of Counsel Nathan Brownback and Partner Josh Sterling discuss recent developments in the U.S. legal landscape for fintech, including the bipartisan Stabenow-Boozman bill, designed to regulate digital assets. They also talk about key banking and financial services developments, including the FDIC’s recent crypto advisory, California’s proposed, far-reaching Digital Financial Assets Law, and other issues in the space that will shape the fintech regulatory debate moving forward.

Read the full transcript on the Jones Day website.

 

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JONES DAY TALKS: Derivatives Market Volatility Brings New Concerns and More Regulatory Scrutiny

JONES DAY TALKS®: Derivatives Market Volatility Brings New Concerns and More Regulatory Scrutiny

Financial Markets

A turbulent global economy leaves financial institutions and other market participants in challenging positions as they try to hedge and protect their interests in an increasingly uncertain environment.

Jones Day partner Josh Sterling talks about the regulatory and legal issues faced by market participants in the volatile economic landscape.

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JONES DAY TALKS®: We Got This: CFTC Chair Pursues Authority Over Digital Assets

JONES DAY TALKS®: We Got This: CFTC Chair Pursues Authority Over Digital Assets

Financial Markets, Technology, , , , ,

As discussions and debates unfold over digital currency regulations, Commodity Future Trading Commission chairman Rostin Benham told a U.S. Senate committee that “speculative fervor” surrounding cryptocurrencies has potentially left investors in need of protections, and made the case for his commission to be charged with overseeing activities in this burgeoning market.

Jones Day’s Josh Sterling and David Aron discuss the gradual move toward federal oversight of cryptocurrencies, the questions clients ask, and what crypto market participants need to know now.

Read the full transcript on the Jones Day website.

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JONES DAY TALKS The Changing Contours of Insider Trading Enforcement

JONES DAY TALKS®: The Changing Contours of Insider Trading Enforcement

Financial Markets, Government Regulation, , , , , , , , , , ,

Recent high-profile insider trading cases leave little doubt that these matters remain an enforcement priority for Washington agencies, including the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), and Department of Justice (DOJ). Jones Day partners Joan McKown, Josh Sterling, and Brian Rabbitt talk about enforcement trends, proposed rule changes, and the increased cooperation between federal authorities.

Read the full transcript on the Jones Day website.

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Crypto and DeFin Regulation Its About to Get Serious

JONES DAY TALKS®: Crypto and DeFi Regulation: It’s About to Get Serious (Encore Presentation)

Cybersecurity, Financial Markets, , , , , ,

A JONES DAY TALKS® Encore Presentation.
From October 2021.

Cryptocurrencies and decentralized finance remain under scrutiny from federal agencies and commissions. The acting Comptroller of the Currency has publicly stated that cryptocurrencies and decentralized finance may be evolving into serious threats to the financial system, much like the way certain financial derivatives prompted serious concerns and a near collapse back in 2008.

Clearly, serious regulations are under consideration. Jones Day’s Josh Sterling and Dorothy Giobbe discuss what industry stakeholders need to know.

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Crypto and DeFi Platforms: Aggressive SEC Enforcement on the Way?

Financial Markets, Fintech, , , , , ,

SEC Chairman Gary Gensler has left little doubt that his commission will closely monitor activity in the cryptoasset markets and the actions of decentralized finance, or DeFi platforms, as investor interest continues to grow. In prepared remarks delivered at an early August event, the chairman said, “We just don’t have enough investor protection in crypto … we have taken and will continue to take our authorities as far as they go.”

Jones Day’s Josh Sterling, Brian Rabbitt, and Mark Rasmussen talk about what the heightened scrutiny means for crypto market participants, and discuss what additional regulatory and enforcement actions could be coming.

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