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Enforcement Actions Commodities Futures Trading Commission Investor Protection

Mintz

A New Era for Crypto Regulation & Innovation? The Crypto Executive Order, a Rebooted SEC Crypto Task Force & the Journey Ahead

Mintz on

Recent regulatory developments in the crypto asset and financial technology space suggest that US regulators may be shifting toward a more balanced approach — one that prioritizes clearer regulations while fostering...more

Skadden, Arps, Slate, Meagher & Flom LLP

CFTC Division of Enforcement Touts ‘Vigorous’ Year in First Annual Report

On November 14, 2018, the Commodity Futures Trading Commission (CFTC) Division of Enforcement released an annual report, apparently the first of its kind. In a speech given at New York University School of Law, James M....more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update - November 2015

Morrison & Foerster LLP on

Regulation - OCIE Cautions Advisers on Outsourcing Compliance Activities: In a Risk Alert dated November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) said it found that outsourced...more

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