Securities and Exchange Commission (SEC), Cryptocurrency, Chief Compliance Officers

Key Considerations for Compliance Officers Under President Trump

DLA Piper on 5/6/2025

The Trump Administration has ushered in massive shifts in enforcement and policy priorities. From crypto to anti-corruption measures and tariffs to technology, the new Administration has changed the compliance landscape...more

Top 5 SEC Enforcement Developments for July 2022

Morrison & Foerster LLP on 8/8/2022

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

Highlights From SIFMA’s Compliance And Legal Seminar 2022

UB Greensfelder LLP on 3/30/2022

I attended the four-day SIFMA Compliance and Legal seminar last week, and there were a bunch of interesting soundbites from regulators that folks might find interesting. The challenge at these conferences is always...more

Bridging The Week - December 2019

Katten Muchin Rosenman LLP on 12/10/2019

The Commodity Futures Trading Commission issued revised guidance for mandatory chief compliance officer annual compliance reports for futures commission merchants and swap dealers. However, the proposed recommendations are...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 8/31/2018

U.S. Financial Industry Developments - SEC Disapproves the Listing and Trading of Nine Bitcoin Related Exchange Traded Products - On August 22, 2018, the SEC released three Orders, acting through authority delegated to...more

SEC's OCIE Announces 2018 Areas Of Focus

Orrick, Herrington & Sutcliffe LLP on 2/13/2018

On February 7, 2018 the SEC's Office of Compliance Inspections and Examinations (OCIE) announced its 2018 National Exam Priorities. The priorities, formulated with input from the Chairman, Commissioners, SEC Staff and fellow...more