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SEC and FINRA Confirm Digital Assets a 2019 Examination Priority

USA - January 28 2019 Recently, the Staffs of the SEC and FINRA announced their annual examination and regulatory priorities: the SEC’s Office of Compliance, Inspections...

Daniel Nathan, Rachelle M. Navarro.

Despite Alleged Fraud, Judge Denies SEC’s Preliminary Injunction Request Based on Howey

USA - December 10 2018 Despite evidence of egregious fraud in the marketing of tokens, a judge in the U.S. District Court for the Southern District of California recently...

Andrew Wallach.

SEC Adopts Amendments to Form ADV

USA - August 29 2016 On August 25, 2016, the Securities and Exchange Commission (SEC) adopted amendments to Form ADV that are designed to provide additional information...

New Jersey Appellate Court Clarifies Definition of Compensation under Advisers Act

USA - August 16 2016 On August 12, 2016, the United States Court of Appeals for the Third Circuit affirmed the decision of the District Court of New Jersey and held in...

FinCEN Issues Customer Due Diligence Rule (CDD) FAQs

USA - July 25 2016 On July 19, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued FAQs regarding the customer due diligence requirements (“CDD”) that it...