Overall cryptocurrency crime levels are down, according to a report from Chainalysis reviewing crypto crime trends, but this past year has still seen certain categories of crypto crime, such as ransomware, continue to...more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources...more
4/21/2023
/ Accounting Fraud ,
Brazil ,
CEOs ,
Corporate Counsel ,
Cryptocurrency ,
Cyber Incident Reporting ,
Cybersecurity ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Failure To Disclose ,
Fraud ,
Misleading Statements ,
Perks ,
Popular ,
Ransomware ,
Safety Standards ,
Securities and Exchange Commission (SEC) ,
U.S. Navy ,
Unregistered Securities
On February 7, 2023, the Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMs) announced its 2023 Examination Priorities (the “Priorities”), which highlight areas it expects to target in 2023...more
2/22/2023
/ Broker-Dealer ,
Compliance ,
Cryptocurrency ,
Cybersecurity ,
Environmental Social & Governance (ESG) ,
Fair Valuation ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Libor ,
Mutual Funds ,
Private Funds ,
Registered Investment Advisors ,
Regulation Best Interest ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more
2/20/2023
/ Business Conduct Standards ,
CEOs ,
Corporate Counsel ,
Cryptocurrency ,
Cyber Attacks ,
Disclosure ,
Disgorgement ,
Enforcement Actions ,
Failure To Disclose ,
Fixed Income Investments ,
Intent to Defraud ,
Investors ,
Lending Programs ,
McDonalds ,
Misleading Statements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important and interesting SEC enforcement developments from the past month, with links to primary...more
1/17/2023
/ Anti-Money Laundering ,
AT&T ,
Corporate Counsel ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Enforcement Actions ,
Hedge Funds ,
Investors ,
Know Your Customers ,
Misappropriation ,
MNPI ,
Regulation FD ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs)
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources....more
12/13/2022
/ Bitcoin ,
Blockchain ,
Corporate Counsel ,
Cryptocurrency ,
Decentralized Finance (DeFi) ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
File Sharing ,
Goldman Sachs ,
Howey ,
Investment ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
Ponzi Scheme ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more
9/7/2022
/ Asset Tokens ,
Corporate Counsel ,
Cryptoassets ,
Cryptocurrency ,
Disclosure Requirements ,
Dodd-Frank ,
Enforcement Actions ,
Failure To Disclose ,
False Reporting ,
Fraud ,
Investors ,
Principal Executive Officer ,
Securities and Exchange Commission (SEC) ,
Shareholders
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important U.S. Securities and Exchange Commission (SEC) enforcement developments from the past month,...more
8/8/2022
/ Chief Compliance Officers ,
Chief Information Security Officer (CISO) ,
Compliance ,
Corporate Counsel ,
Cryptocurrency ,
Financial Institutions ,
Identity Theft ,
Insider Trading ,
Investment Adviser ,
Investment Schemes ,
Popular ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)