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253 results found

Article

Katten Muchin Rosenman LLP | USA | 21 Apr 2019

SEC OCIE Makes No Secret of Need for Broker-Dealers and Investment Advisers to Up Their Procedures Regarding the Privacy of Customer Records and Information

The watchdog arm of the Securities and Exchange Commission - the Office of Compliance Inspections and Examinations - issued a Risk Alert summarizing

Article

Katten Muchin Rosenman LLP | USA | 14 Apr 2019

New York State Department of Financial Services Revokes Crypto Exchange’s Safe Harbor to Operate Without BitLicense

The New York State Department of Financial Services cancelled the temporary authority of a major cryptocurrency exchange to operate in New York

Article

Baker & Hostetler LLP | USA, Australia, United Kingdom, etc. | 2 Apr 2019

2018 Year-End Cross-Border Government Investigations and Regulatory Enforcement Review

In the second year of the Trump administration, U.S. white collar law enforcement priorities became clearer, particularly with regard to

Article

Dechert LLP | USA | 31 Jan 2019

US Blockchain Enforcement and Litigation Update - January 2019

In the second half of 2018, cryptocurrency investors and businesses faced sustained attention from financial regulators and persistent declines in

Article

Winston & Strawn LLP | USA, United Kingdom, European Union | 7 Jan 2019

Financial Services Update, Vol. 14, Issue 1

Unquestionably, 2019 is set to be an exceptional year, especially in the field of financial services. The United Kingdom submitted on 29 March 2017

Article

Katten Muchin Rosenman LLP | USA | 2 Dec 2018

California Federal Court Rejects SEC’s View That Purportedly Fraudulent ICO Constituted a Security Offering - At Least for Now

The Securities and Exchange Commission’s view that most cryptoassets issued as part of initial coin offerings and presales to ICOs are securities was

Article

Winston & Strawn LLP | USA, United Kingdom, European Union | 19 Nov 2018

Financial Services Update, Vol. 13, Issue 43

The topic of Brexit has been the subject of a high degree of anxiety within the financial services industry. In a potentially positive development, on

Article

Paul Hastings LLP | USA, Ireland | 26 Mar 2018

PH Money Matters: This Week in Washington

President Trump signed the US$1.3T omnibus spending bill on Friday, ending a cycle of short-term stopgap measures and the recurring threat of a

Article

Katten Muchin Rosenman LLP | USA | 25 Feb 2018

Bridging the Weeks by Gary DeWaal: February 12 to 23, and February 26, 2018 (Whistleblowers; AML Staffing; Unlicensed Crypto Exchange; FCA-CFTC FinTech Cooperation)

The United States Supreme Court made clear that, to take advantage of a key anti-retaliation protection of the Dodd-Frank Wall Street Reform and

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