Regulatory Oversight, Enforcement Actions, Securities

SEC Pumps Fun

McDermott Will & Schulte on 3/4/2025

While we anticipated a relaxed US Securities and Exchange Commission (SEC) under the new administration, even the biggest proponents of a lax SEC did not expect a “meme coin” blessing within weeks of a new SEC chair being...more

Australia Greenwashing: Half-Yearly Review of ASIC and ACCC Prosecutions – and ACCC Position on Environmental Collaborations

K&L Gates LLP on 10/21/2024

In Brief - The Australian Competition and Consumer Commission (ACCC) and Australian Securities and Investments Commission (ASIC) continue to be vigilant and seek significant penalties for alleged "greenwashing" (misleading...more

Assessing the Landscape: One Year into the SEC’s Litigation Against Major U.S. Digital Asset Exchanges

Polsinelli on 7/19/2024

The SEC’s litigation against the largest digital asset exchanges in America has been unfolding for over a year, beginning with the agency suing various Binance entities in June 2023, followed by actions against Coinbase...more

NYAG’s Warning to Crypto Businesses Muddies Regulatory Waters

Sheppard Mullin Richter & Hampton LLP on 11/11/2021

New York’s chief law enforcement agency recently squandered an opportunity to bring much needed guidance to the digital assets space. On October 18, the Office of New York Attorney General Letitia James (“NYAG”) issued a...more

Fraud Claims Against Startup Founder Involving Secondary Market Sales Demonstrate SEC Focus on Privately-Held Companies

Proskauer - The Capital Commitment on 4/12/2019

Last week the SEC announced a settlement of fraud claims against the founder of Jumio, Inc, a private mobile payments company, for misstating the company’s financial results and using those financials to sell his company...more

SEC and CFTC continue efforts to regulate cryptocurrency

Eversheds Sutherland (US) LLP on 11/14/2018

Two important events occurred in the cryptocurrency space last week. The Chairman of the US Commodity Futures Trading Commission (CFTC) gave a speech regarding regulators’ role in effectively supervising markets in the era...more

The “New” Face of Corporate Misconduct

The Volkov Law Group on 1/25/2017

As we look across the corporate governance landscape and focus on the spikes of corporate scandals, I started to wonder if there was any pattern or trend to the nature of corporate scandals....more

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