» Compliance Bricks and Mortar for November 16
16/11/18 15:00 from Compliance Building
These are some of the compliance-related stories that recently caught my attention. Little bits to grow your building knowledge base. Steve Cohen Will Pay Extra for Compliance Tips by Matt Levine How did this happen, you might well ask. ...

» SEC enforcement co-directors discuss approach to crypto assets, impact of Supreme Court decisions
16/11/18 12:34 from Jim Hamilton's World of Securities Regulation
By John Filar Atwood The SEC’s Division of Enforcement has tried to take a measured approach to enforcement in the crypto asset space in order to address violations without stifling innovation, according to co-directors Stephanie Avakian...

» Sentences upheld in double jeopardy dispute
15/11/18 15:55 from Jim Hamilton's World of Securities Regulation
By R. Jason Howard, J.D. On the heels of the Supreme Court holding in Kokesh v. SEC that disgorgement, “as it applied in SEC enforcement proceedings, operates as a penalty,” the Sixth Circuit, in a criminal sentencing appeal, held that S...

» Exam Initiatives Focused on Registered Investment Companies
14/11/18 16:03 from Compliance Building
The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert announcing its intention to conduct a series of examination initiatives focused on issues affecting certain registered investment companies and investmen...

» CorpFin director expects digital asset guidance to be ready by early 2019
14/11/18 15:36 from Jim Hamilton's World of Securities Regulation
By John Filar Atwood The staff of the Division of Corporation Finance is working on plain English guidance on tokens and other digital assets, and expects it to be released later this year or early in 2019, according to division director...

» IM Director Blass praises ‘symphony of participants,’ vibrancy of financial markets
13/11/18 15:54 from Jim Hamilton's World of Securities Regulation
By Joanne Cursinella, J.D. Speaking recently at the ALI CLE 2018 Conference on Life Insurance Company Products, Division of Investment Management Director Dalia Blass discussed variable products, investor choice, and regulatory consisten...

» Excelsior!
13/11/18 14:10 from Compliance Building
Stan Lee, the legendary writer and publisher of Marvel comics who helped created countless superheroes, has died. He was 95. On his own and through his work with collaborators Jack Kirby, Steve Ditko, Bill Everett. and others, Mr. Lee cr...

» OCIE announces risk-based exam initiatives focused on funds and advisers
12/11/18 15:23 from Jim Hamilton's World of Securities Regulation
By Amy Leisinger, J.D. The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert announcing its intention to conduct a series of examination initiatives focused on issues affecting certain registered investment ...

» Cryptocurrency Problems Roundup
12/11/18 14:30 from Compliance Building
Crypto Currency can be a Commodity A federal judge in Massachusetts agreed with the Commodity Futures Trading Commission’s view that virtual currencies are commodities under the Commodity Exchange Act and subject to federal regulation. S...

» IAC approves recommendation to clarify Reg. BI
09/11/18 15:12 from Jim Hamilton's World of Securities Regulation
By Amy Leisinger, J.D. By a 16-3 vote, the SEC’s Investor Advisory Committee approved a recommendation to the Commission to strengthen and clarify certain aspects of proposed Regulation Best Interest. According to the IAC, the standard f...

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