Searching Content indexed under Trials & Appeals & Compensation by Joshua Newville ordered by Published Date Descending.
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SEC Extends Registration Requirements For Investment Companies And Broker Dealers To ICOs And Other Digital Assets
Fund managers take note – after over a year of warning, this month the SEC announced a pair of settlement orders with respect to registration requirements for a fund ...
United States
28 Sep 2018
Crypto Crackdown – SEC Imposes Broker-Dealer And Investment Company Registration Provisions On Token Traders And A Crypto Fund
The SEC announced a pair of settled orders on Tuesday extending additional provisions of the securities laws over ICOs and other digital assets – the agency's first ever enforcement actions of their kind.
United States
19 Sep 2018
Mt. Gox Debacle Showcases Cryptocurrency Litigation Concerns
The theft of millions of bitcoins and related failure of cryptocurrency exchange Mt. Gox—recently written about in the Wall Street Journal—provides a perfect example of how cryptocurrency-related issues ...
United States
11 Sep 2018
SEC Whistleblower Enforcement Settlement Reminds Private Fund Sponsors To Review Organizational Policies And Procedures For Compliance With Governmental Whistleblower Programs
A recent SEC settlement of whistleblower charges should serve as a useful reminder for private fund sponsors to conduct a comprehensive review of their policies and procedures.
United States
15 Aug 2016
SEC Adopts Amendments To Rules Governing Its Administrative Proceedings
Earlier today, the SEC announced that it will adopt certain amendments to its rules of practice governing administrative proceedings.
United States
14 Jul 2016
Whistleblower Concerns for Private Fund Advisers – Seven Mistakes To Avoid
As we have previously observed, private fund advisers face a difficult challenge when SEC guidance (in the form of a speech or a public enforcement order) indicates that certain long-standing practices may be contrary to the securities laws.
United States
28 Jun 2016
Eleventh Circuit Rules Disgorgement No Different Than Forfeiture, Barring Sec From Seeking Ill-Gotten Gains Outside Five-Year Limitations Period
A three judge panel in the Eleventh Circuit issued a ruling last Thursday in Securities and Exchange Commission v. Barry Graham et al.
United States
1 Jun 2016
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