As of today, March 12, 2024, a New York state statute, in certain circumstances, restricts employers “from requesting or requiring that an employee or applicant disclose any . . . means for accessing a personal account...more
3/13/2024
/ Adverse Employment Action ,
Broker-Dealer ,
California Privacy Rights Act (CPRA) ,
CFTC ,
Compliance ,
Employee Misconduct ,
Employee Rights ,
Enforcement Actions ,
General Data Protection Regulation (GDPR) ,
Hiring & Firing ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Privacy Laws ,
Recordkeeping Requirements ,
Regulatory Standards ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Social Media ,
Surveillance
The U.S. Court of Appeals for the D.C. Circuit (the “Court”) issued a major ruling against the Securities and Exchange Commission (“SEC”) on August 29, 2023, holding that the SEC acted arbitrarily and capriciously when it...more
The CFTC’s Division of Enforcement (Division) released its Annual Report on November 25, 2019, summarizing the Division’s activities over the past year.1 In FY 2019, the CFTC filed 69 enforcement actions, down from 83 in FY...more
12/16/2019
/ Annual Reports ,
Bitcoin ,
CFTC ,
CFTC Enforcement Manual ,
Civil Monetary Penalty ,
Commodities ,
Cryptocurrency ,
Customer Protection Rule ,
Department of Justice (DOJ) ,
Derivatives ,
Disgorgement ,
Dodd-Frank ,
Enforcement Actions ,
Enforcement Statistics ,
False Reporting ,
Fraud ,
Individual Accountability ,
Integrity Policies ,
Investor Protection ,
Market Manipulation ,
Risk Management ,
Self-Reporting ,
Spoofing ,
Swaps ,
Whistleblowers
Over the past two years, prices for cryptocurrencies and other digital assets have experienced extreme gains and declines, while billions of dollars have been raised through Initial Coin Offerings (“ICOs”). In this dynamic...more
2/1/2019
/ Anti-Money Laundering ,
Blockchain ,
CFTC ,
Civil Monetary Penalty ,
Commodities ,
Criminal Investigations ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Digital Assets ,
Disgorgement ,
Distributed Ledger Technology (DLT) ,
Enforcement Actions ,
Entrepreneurs ,
Financial Regulatory Agencies ,
FinCEN ,
FinHub ,
Fraud ,
Initial Coin Offering (ICOs) ,
Investors ,
Misleading Statements ,
Office of Foreign Assets Control (OFAC) ,
Popular ,
Risk Management ,
Risk Mitigation ,
Sanction Violations ,
SDN List ,
Securities and Exchange Commission (SEC) ,
Securities Tokens ,
Startups ,
State Regulators ,
Token Sales ,
U.S. Treasury ,
Unregistered Securities ,
Utility Tokens