As part of its formal fiscal year (FY) 2024 priorities, the SEC's Division of Examinations identified the review of investment advisers to private funds as a key priority. Fresh off the implementation of the Marketing Rule in...more
Please join Holland & Knight's Financial Services Regulatory Team for a roundtable discussion on what to expect on the financial services landscape in 2024. Our attorneys will present on a wide range of topics in a "3-Minute...more
1/3/2024
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Banking Sector ,
BSA/AML ,
Consumer Financial Products ,
Consumer Financial Protection Bureau (CFPB) ,
Continuing Legal Education ,
Federal Trade Commission (FTC) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Agencies ,
Financial Services Industry ,
OCC ,
Office of Foreign Assets Control (OFAC) ,
Securities and Exchange Commission (SEC) ,
Webinars
The SEC on Feb. 15, 2023, announced new proposed obligations for registered investment advisers concerning custody of investor assets. Although the rule is only in proposed form, given the current composition of the SEC, the...more
• Issuing an initial coin offering (ICO) is a new and innovative way for companies to infuse capital into their enterprise. However, several regulatory agencies have increased their scrutiny of ICOs, including the U.S....more
5/14/2018
/ Capital Raising ,
Corporate Counsel ,
Cryptocurrency ,
Exemptions ,
Initial Coin Offering (ICOs) ,
Investors ,
Offerings ,
Registration Requirement ,
Regulation A ,
Regulation CF ,
Regulation D ,
Regulation S ,
Securities and Exchange Commission (SEC) ,
Token Sales
• The rapid proliferation of technological advancements in global financial markets has caused regulators in several countries to increase their scrutiny of investments in, and implications of, cryptocurrencies.
• This...more
5/8/2018
/ Anti-Money Laundering ,
Banking Sector ,
Bitcoin ,
CIMA ,
Cryptocurrency ,
Digital Currency ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Services Authority ,
FINMA ,
FinTech ,
Goods or Services ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Initial Coin Offering (ICOs) ,
Investors ,
Monetary Authority of Singapore ,
New Legislation ,
Ontario Securities Commission (OSC) ,
Regulatory Agenda ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Self-Regulatory Organizations ,
Technology Sector ,
Token Sales ,
Venture Capital ,
Virtual Currency
• Coinbase, one of the largest cryptocurrency exchanges, recently approached the U.S. Securities and Exchange Commission (SEC) about possible licensing as a broker-dealer. If Coinbase decides to register with the SEC, it will...more
4/30/2018
/ Alternative Trading System (ATS) ,
Books & Records ,
Broker-Dealer ,
Coinbase ,
Cryptocurrency ,
Currency Exchange ,
Customer Protection Rule ,
Digital Assets ,
Digital Currency ,
Fees ,
Funding Portal ,
Initial Coin Offering (ICOs) ,
Registration Requirement ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Exchanges ,
SRO