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Articles: 1-10 of 57

Feeling the US Crypto Regulation Whiplash

USA - June 13 2023 The pace of the SEC’s crypto crackdown ramped up last week with its highest profile actions against crypto trading platforms since the crypto market…

SEC Proposal Targets Crypto Exchanges, Trading Platforms, and Brokers

USA - April 25 2023 On April 14, 2023, the Securities and Exchange Commission (“SEC”) reopened the comment period and provided supplemental information on proposed…

AI in Financial Services: The Road Ahead

Global - April 17 2023 When artificial intelligence (AI) emerged as a viable option for use in financial services, experts hailed its transformative potential while also…

Crypto Staking the Latest Target of Regulation by Enforcement

USA - February 10 2023 On February 9, 2023, the SEC announced that it had settled charges against the world’s third largest centralized crypto exchange by volume for…

Drum Beat on Crypto Custody Regulation Gets Louder: NY DFS Guidance

USA - February 7 2023 Following a host of notable bankruptcy filings in the digital asset industry, the New York State Department of Financial Services (DFS) recently…

US: FINRA Update on Sweep of Option Account Practices

USA - December 8 2022 FINRA recently updated the industry on observations to date from its August 2021 sweep on broker-dealer practices and controls concerning the opening…

US: FINRA Sweep Crypto Asset Communication

USA - November 17 2022 Potentially in connection with the recent events rocking the crypto industry, FINRA is conducting a new sweep on “Crypto Asset Communications” by…

Preparedness for Climate-Related Litigation in the Financial Sector

Global, USA - October 17 2022 Many financial institutions are not prepared for managing climate risk exposing themselves to increased risk of climate-related litigation…

US - New Digital Asset Framework

USA - September 23 2022 On September 16, 2022 the White House released its Comprehensive Framework for Responsible Development of Digital Assets (Framework) for how the…

SEC Warns Advisers of Immediate Exams for Compliance with the Marketing Rule

USA - September 20 2022 With 45 days to go before the 4 November 2022 compliance date, the Division of Examinations on 19 September published a Risk Alert reminding…

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