The current administration has indicated an intention for the U.S. to be a leader in the cryptocurrency industry, as discussed in the recent webcast Bank Regulatory Agency Update Under DOGE: What Every Financial Institution...more
The Division of Enforcement (“Division”) for the Securities and Exchange Commission (“SEC”) released the 2024 Examination Priorities Report (“Report”) highlighting the key areas the Division will examine in 2024. The SEC’s...more
3/22/2024
/ Compliance ,
Conflicts of Interest ,
Cryptocurrency ,
Due Diligence ,
Fiduciary ,
Investment Adviser ,
Portfolio Managers ,
Private Funds ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Technology
On August 24, the Securities and Exchange Commission (SEC) released a draft of its strategic plan for 2022 – 2026, outlining its key initiatives for the next four years. The SEC’s mission is to protect investors, maintain...more
On February 14, 2022, BlockFi Lending LLC (BlockFi) settled charges with the SEC and state securities regulators for a total of $100 million in penalties. BlockFi was charged with a failure to register the offer and sales of...more