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We require our registrants to disclose both the good and the bad news and, in that vein, it is appropriate for me to note that ...
"By failing to challenge ourselves to experiment with new approaches to regulation, we, and those whose interests we are pledged to serve, risk surrendering the ...
"The resulting settlement orders and litigation releases leave the industry to guess at the path to compliance. Candidly, given the approach we have taken, I ...
Prompt notification of risk monitoring analyst requested
The Commission continues to interpret the term ‘‘virtual currency’’ broadly
This is a sample annual employee questionnaire, which comes courtesy of Core Compliance & Legal Services in San Diego
Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...
The SEC has closed the books again on one of the biggest insider trading scandals of this century. Under a consent decree entered in federal ...
Compliance officers have developed various methods to monitor staff to ensure they’re not tempted to trade on material, non-public information learned in meetings
There is current uncertainty about how the securities laws apply to tokens
Compliance officers often complain that they don’t have enough authority in their funds. Too far removed from decisions, too siloed from the bigger company, you’ve ...
We have created a regulatory Catch 22. Would-be networks cannot get their tokens out into people’s hands because their tokens are potentially subject to the ...
Crypto is “going to change virtually every industry, but especially financial services. This is going to do to financial services what the internet did to ...
A convicted hedge fund swindler took “rebranding” to new extremes by inventing a whole new identity in order to con investors in a crypto-currency, federal ...
A former healthcare analyst at a private fund has agreed to a three-year bar and will pay nearly $135,000 to settle claims that he helped ...
Crypto firm has three months to refund any cash that investors demand back
On the same day an online shopping executive pleaded guilty to state fraud charges, the SEC moved to relieve him and his company of at ...
The SEC has rewrapped its case against one of two principal witnesses in the record-setting SAC Capital prosecution, months after a federal judge set aside ...
Lee's trading enabled the S.A.C. Capital hedge fund that he managed to generate more than $1.5 million in illegal profits
Dealer charged with offering and selling unregistered security-based swaps
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