Articles

Results 6 to 10 of 70
Most popular |Most recent


OCIE Director Instructs Advisers to Empower Chief Compliance Officers

USA - November 24 2020 On November 19, 2020, Peter Driscoll, director of the Office of Compliance Inspection and Examination (“OCIE”) of the Securities and Exchange…

Bochan Kim.

Despite Challenges, It’s Full Steam Ahead For SEC’s Enforcement Division

USA - September 29 2020 On September 17, 2020, Stephanie Avakian, Director of the SEC’s Division of Enforcement, spoke at the Institute for Law and Economics, University of…

Ariela R. Pier.

Ninth Circuit Reverses SEC Disgorgement Award and Remands in First Decision Post-Liu

USA - August 20 2020 For the first time outside of the originating case itself, a federal appeals court was called upon to apply the principles governing disgorgement in…

Christopher J. Bosch.

FINRA Settlement Highlights Importance of Anti-Money Laundering Due Diligence and Monitoring

USA - August 6 2020 A recent enforcement action offers a glimpse of the Financial Industry Regulatory Authority’s (“FINRA”) expectations for firms conducting anti-money…

Christopher J. Bosch.

Office of the Comptroller of the Currency Affirms Authority of a National Bank to Provide Cryptocurrency Custody Services

USA - July 31 2020 The Office of the Comptroller of the Currency (“OCC”) recently signaled its approval for banks to fully wade into the cryptocurrency custodian space…

Shane Killeen.