In Short -
The Background: As voluntary carbon credits ("VCCs") have grown in popularity, questions about their integrity and quality have arisen for investors and among regulators and lawmakers. For this reason, many have...more
12/14/2023
/ Carbon Emissions ,
Carbon Pricing ,
CFTC ,
Derivatives ,
Designated Contract Markets (DCMs) ,
Energy Market ,
Financial Institutions ,
Financial Markets ,
Financial Services Industry ,
Greenhouse Gas Emissions ,
Investment ,
Proposed Guidance ,
Risk Management ,
SEFs
In Short -
The Situation: The civil action of the Commodity Futures Trading Commission ("CFTC") against Archegos Capital Management LP and its CFO is but one of many civil and criminal matters arising out of Archegos's...more
9/28/2023
/ CFTC ,
Consumer Protection Act ,
Dodd-Frank ,
Enforcement Actions ,
ETFs ,
Exchange-Traded Products ,
Financial Markets ,
Fraud ,
Jurisdiction ,
Regulatory Authority ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Security-Based Swaps
In Short -
The Situation: Congress recently amended the Securities Exchange Act of 1934 (the "Exchange Act") to exempt certain "M&A brokers" from registration as broker-dealers with the U.S. Securities and Exchange...more
The digital asset industry has now met the regulatory state. Those interested in building digital asset businesses that operate in the United States thus need to be aware of a vital tool for resisting regulatory overreach by...more
12/13/2021
/ Bitcoin ,
Cryptocurrency ,
Digital Assets ,
Financial Instruments ,
Financial Markets ,
Financial Services Industry ,
Financial Transactions ,
Investment Products ,
Regulatory Oversight ,
Regulatory Standards ,
Virtual Currency
On October 18, 2021, New York Attorney General Letitia James directed two virtual currency lending platforms to immediately cease their unregistered and allegedly unlawful activities in New York and sent letters to three...more
10/29/2021
/ Cryptocurrency ,
Decentralized Finance (DeFi) ,
Enforcement Actions ,
Financial Markets ,
Financial Services Industry ,
Lenders ,
New York ,
Regulatory Violations ,
Securities Transactions ,
Stablecoins ,
State Attorneys General ,
Virtual Currency
As the global digital asset industry continues to grow, regulators worldwide have increased efforts to define and shape the legal landscape through various approaches. In the UAE, for example, the Financial Services...more
10/25/2021
/ Africa ,
Bitcoin ,
Cryptoassets ,
Cryptocurrency ,
Decentralized Finance (DeFi) ,
Digital Assets ,
Digital Currency ,
Disclosure Requirements ,
Enforcement Actions ,
Ether ,
Financial Markets ,
Investment ,
Middle East ,
Popular ,
Regulatory Agenda ,
Regulatory Oversight ,
Token Sales ,
United Arab Emirates (UAE)
State attorneys general have become significant players in the financial world, using a number of special investigative and enforcement tools to investigate and prosecute alleged wrongdoing by financial market participants....more