This blog post will briefly explore operational, strategic, and regulatory considerations related to the use of financial technologies by financial institutions in the COVID-19 era.
We specifically view these considerations...more
6/24/2020
/ Coronavirus/COVID-19 ,
Defense Strategies ,
FDIC ,
Financial Institutions ,
FinTech ,
NCUA ,
New Guidance ,
OCC ,
Operational Requirements ,
Popular ,
Regulatory Standards
On July 25, 2017, the Securities and Exchange Commission (“SEC”) released groundbreaking materials relating to blockchain tokens. These materials provide significant and welcome insight to the SEC’s and its staff’s thinking...more
7/27/2017
/ Alternative Trading System (ATS) ,
Blockchain ,
Digital Currency ,
Financial Institutions ,
Financial Markets ,
Initial Coin Offering (ICOs) ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Investor Advisory Committee ,
Popular ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Unregistered Securities ,
Virtual Currency
On September 24th, the U.S. Commodity Futures Trading Commission (CFTC) settled charges against TeraExchange LLC, a provisionally registered bitcoin swap execution facility (SEF). The charges stem from a non-deliverable...more
9/25/2015
/ Bitcoin ,
CFTC ,
Commodity Exchange Act (CEA) ,
Enforcement Actions ,
Financial Institutions ,
Financial Markets ,
GMAC ,
NDFs ,
SEFs ,
Swap Execution Facilities ,
Trading Platforms
On September 17th, the Commodity Futures Trading Commission (“CFTC”) announced an enforcement order and settlement against an unregistered bitcoin options trading platform. The order is notable for six reasons:
1) It is...more