The fintech industry has been changing rapidly. Digital assets, distributed ledger technology and central bank digital currencies are gaining momentum. Multi-trillion-dollar United States Federal Reserve System money creation...more
6/30/2020
/ Bankers ,
Bitcoin ,
Blockchain ,
Bribery ,
Brokers ,
China ,
Corruption ,
Cyber Crimes ,
Digital Assets ,
Distributed Ledger Technology (DLT) ,
Family Offices ,
Federal Reserve ,
FinTech ,
Forgery ,
Fraud ,
Inflation Adjustments ,
International Trade ,
Investment Funds ,
Mutual Funds ,
Registered Investment Advisors
Sender Primary Liability for Misstatements in PPMs and Prospectuses: Lorenzo v. SEC (No. 17-1077 -- U.S. – 2019).
On March 27th, the Supreme Court issued a 1934 Act Rule 10b-5 opinion that will have implications for...more
4/5/2019
/ Corporate Officers ,
Custody Rule ,
Digital Assets ,
Directors ,
Enforcement Actions ,
Intent to Defraud ,
Investment Funds ,
Janus Capital Group Inc v First Derivative Traders ,
Lorenzo v SEC ,
No-Action Relief ,
Personal Liability ,
Proposed Rules ,
Puerto Rico ,
Retirement Plan ,
Rule 10b-5 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Fraud