Results 1 to 5 of 19

Despite BlockFi’s $100 Million Settlement with the SEC for Failing to Register as an Investment Company, BlockFi is Under Fire From Investors

USA - March 10 2022 On February 14, 2022, the Securities and Exchange Commission announced a settlement with a crypto lending company in a “first-of-its-kind enforcement…

Addison Smith, Abigail G. Urquhart, Molly M. White

SEC Focus on Private Fund Advisers Continues With the Publication of EXAMS Risk Alert

USA - January 31 2022 On January 27, 2022, the Division of Examinations (“EXAMS”) of the U.S. Securities and Exchange Commission (“SEC”) published a Risk Alert with its…

Brian Baltz, Emily P. Gordy, Cheryl L. Haas, Chelsey Dawson Klein

SEC Advisory Fees Focus Continues as Reflected in Division of Examinations Risk Alert and Chair Gensler Comments

USA - November 15 2021 Recent comments from U.S. Securities and Exchange Commission (SEC) Chair Gensler at the Institutional Limited Partners Association Summit and an SEC…

Anitra T. Cassas, Emily P. Gordy, Cheryl L. Haas

FINRA’s Important Reminder to Firms—Don’t Forget to Supervise Third-Party Vendors

USA - August 24 2021 Broker-dealers, like most companies, rely on third-party vendors for a wide variety of functions. This common practice of outsourcing does not…

Emily P. Gordy, Cheryl L. Haas, Alexander Martin Madrid, Tess Rogers

SEC 2021 National Exam Program Examination Priorities

USA - March 4 2021 On March 3, 2021, the Securities and Exchange Commission’s Division of Examinations (EXAMS) (formerly the Office of Compliance Inspections and…

Emily P. Gordy, Cheryl L. Haas, Molly M. White