Searching Content indexed under Technology by Joshua Newville ordered by Published Date Descending.
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The Top Ten Regulatory And Litigation Risks For Private Funds In 2019
An increasingly sophisticated and active OCIE division, innovative market disruptors, a maturing credit cycle, and a philosophical change in how the private fund industry views and utilizes litigation are likely to lead to increased regulatory scrutiny and litigation risk for advisers (and their funds) in 2019.
United States
28 Feb 2019
Bharara Task Force On Insider Trading
Former SDNY U.S. Attorney Preet Bharara and SEC Commissioner Jackson recently announced, via NY Times op-ed, the creation of the Bharara Task Force on Insider Trading.
United States
16 Oct 2018
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 Staff Announces 2018 OCIE Examination Priorities
Last week the staff of the Office of Compliance Inspections and Examinations (OCIE) of the SEC announced its 2018 examination priorities.
United States
19 Feb 2018
SEC Chairman Identifies Guiding Principles
On July 12, 2017, newly appointed SEC Chairman Jay Clayton delivered a speech at the non-partisan Economic Club of New York wherein he set forth several high-level guiding principles for the agency.
United States
31 Jul 2017
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