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1,069 results found

Article

Winston & Strawn LLP | USA, European Union | 4 Feb 2019

Financial Services Update, Vol. 14, Issue 5

The Financial Industry Regulatory Authority, Inc. (FINRA) recently issued its annual, but renamed, Risk Monitoring and Examination Priorities Letter

Article

Cadwalader Wickersham & Taft LLP | USA, Global | 28 Dec 2018

Anti-money laundering and fraud in the USA

A structured guide to AML and fraud in the USA

Article

Sheppard Mullin Richter & Hampton LLP | USA | 30 Oct 2018

Crypto Firms Make Inroads with State and Federal Regulators

Over the past couple of years, the crypto industry has come under heavy scrutiny from skeptical regulators seeking to root out fraud and protect

Article

Vinson & Elkins LLP | USA | 22 Oct 2018

Becoming an Arm of the State: Recent Challenge to Statements Made in Internal Investigations Shines a Spotlight on the Role of the Government in Internal Investigations

Two former traders of Deutsche Bank AG, Gavin Black and Matthew Connolly, were recently convicted of wire fraud and conspiracy for submitting

Article

Skadden Arps Slate Meagher & Flom LLP | USA | 16 Oct 2018

The Distributed Ledger: Blockchain, Digital Assets and Smart Contracts

This is the inaugural issue of The Distributed Ledger, a periodic publication covering the latest trends and developments in blockchain technology

Article

Skadden Arps Slate Meagher & Flom LLP | USA | 1 Oct 2018

Recent Court Decisions Shine Spotlight on Scope of CFTC’s Dodd-Frank Anti-Fraud and Anti-Manipulation Enforcement Authority

Recent federal court decisions, and a pending appeal in the Ninth Circuit, highlight disagreement among the courts as to the scope of the Commodity

Article

Buckley LLP | USA | 28 Aug 2018

CFTC wins over $1 million judgment in cryptocurrency fraud action

On August 23, the U.S. District Court for the Eastern District of New York entered final judgment in favor of the Commodity Futures Trading

Article

Hogan Lovells | USA | 13 Aug 2018

FinCEN says SAR filings are "critical" to its cryptocurrency work

The US Financial Crimes Enforcement Network (FinCEN) has said that it receives more than 1,500 suspicious activity reports (SARs)

Article

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

Article

Katten Muchin Rosenman LLP | USA | 15 Jul 2018

Commodity Pool Operator Charged With Fraud in CFTC and Criminal Actions; Also Charged Criminally With Attempting to Obstruct CFTC Investigation

A criminal indictment naming commodity pool operator Harris Landgarten was filed in a federal court in Brooklyn, New York, last week, charging the

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