On November 15, the Securities and Exchange Commission (the SEC) released its summary of enforcement actions brought during the 2022 fiscal year, announcing that in 2022 the SEC filed 760 enforcement actions and recovered an...more
12/23/2022
/ Compliance ,
Cryptocurrency ,
Enforcement ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fraud ,
Insider Trading ,
Investment Adviser ,
Investment Management ,
Investors ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Whistleblower Awards ,
Whistleblowers
This year-end issue of the Compass includes an overview of a recent conference Katten held regarding developments in cryptocurrency in the capital markets space, led by Mark Wood, national co-head of Katten’s Capital Markets...more
12/23/2022
/ Capital Markets ,
Capital Raising ,
Clawbacks ,
Crypto Exchanges ,
Cryptoassets ,
Cryptocurrency ,
Insider Trading ,
Investment ,
Investors ,
Securities and Exchange Commission (SEC) ,
Venture Capital ,
Whistleblowers