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942 results found


DLA Piper | USA, Global | 24 Jan 2019

Fintech regulation in the USA

A structured guide to fintech regulation in the USA


Latham & Watkins LLP | USA | 15 Jan 2019

SEC Ends 2018 Signaling Its Approach to Regulating the Cryptocurrency Markets

The US Securities and Exchange Commission (SEC, or the Commission) recently issued a public statement1 and


Latham & Watkins LLP | USA | 19 Oct 2018

SEC Charges “ICO Superstore” as Unregistered Broker-Dealer

Latham & Watkins operates worldwide as a limited liability partnership organized under the laws of the State of Delaware (USA) with affiliated limited


Jones Day | USA | 1 Aug 2018

SEC Enforcement in Financial Reporting and Disclosure--2018 Mid-Year Update

Chairman Jay Clayton's vision for the Securities and Exchange Commission has largely shaped the first half of 2018, with policies and initiatives


Morgan Lewis | USA | 17 Jul 2018

CFTC, SEC Sign New Memorandum of Understanding on Information Sharing

The US Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) collectively the Commissionsannounced


Katten Muchin Rosenman LLP | USA | 15 Jul 2018

SEC Resolves a Sundry of Enforcement Actions Alleging Failure to File SARs; Failure to Supervise Brokers Who Defrauded Customers; and Inappropriate Commission Splitting

Charles Schwab & Co., Inc. agreed to pay a fine of US $2.8 million to the Securities and Exchange Commission to resolve charges that, in 2012 and


Katten Muchin Rosenman LLP | USA | 20 May 2018

SEC and FINRA Collectively Fine Broker-Dealer Over US $6.1 Million for AML Violations

The Industrial and Commercial Bank of China Financial Services agreed to remit a fine of US $5.3 million to the Financial Industry Regulatory


Cadwalader Wickersham & Taft LLP | USA | 26 Apr 2018

Choose One: Best Interest or Full Service

On April 18, the SEC approved the publication of three releases (the "Releases") proposing new regulatory requirements that are intended to expand and


Dechert LLP | USA | 3 Apr 2018

SEC Issues Statement on Potentially Unlawful Online Platforms for Trading Digital Assets

The staff of the Divisions of Enforcement and Trading and Markets (collectively, Staff) of the U.S. Securities and Exchange Commission (SEC) on March


DLA Piper | USA | 9 Nov 2017

The Financial Report, Vol. 6, No. 21 - Discussion and Analysis

The SEC recently provided welcome relief for US broker-dealers engaged in business with European investment managers, issuing no-action letters

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