A Bloomberg article last week suggests potentially more bad news is on the way for Coinbase Global Inc. (“Coinbase”). Coinbase is reportedly facing an investigation by the U.S. Securities and Exchange Commission (“SEC”) into...more
8/11/2022
/ CFTC ,
Coinbase ,
Crypto Exchanges ,
Cryptoassets ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Digital Securities ,
Enforcement Actions ,
Illegal Tipping ,
Insider Trading ,
Investigations ,
Popular ,
Securities and Exchange Commission (SEC)
Late last month the Securities and Exchange Commission (“SEC”) charged JP Morgan, UBS and Trade Station with violations of Regulation S-ID based on a range of inadequacies in their identity theft red flag policies and...more
8/9/2022
/ Anti-Fraud Provisions ,
Business Development Companies ,
Cybersecurity ,
Data Protection ,
Disclosure Requirements ,
Investment Adviser ,
Investor Protection ,
Policies and Procedures ,
Popular ,
Proposed Rules ,
Registered Investment Companies (RICs) ,
Regulatory Agenda ,
Risk Management ,
Securities and Exchange Commission (SEC)