Financial Services

cryptocurrency coins on blue digital background

What Crypto Exchangers and Administrators Need to Know U.S. regulators have recently joined with an international coalition of tax enforcement authorities to investigate cryptocurrency-related crimes. Given that there’s been limited regulatory oversight of cryptocurrency in years past, where does this...

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Compliance Challenges in Financial Services The financial services sector faces numerous obstacles – especially the constant change in regulations. Michael Powell, Solutions Consultant at ZL Technologies, shares insights around the four biggest compliance challenges facing the industry today and how data...

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two businessmen analyzing a financial report

Guidance from Director Dalia Blass Director Dalia Blass of the SEC's Division of Investment Management (the "Division") recently delivered the keynote address for the ICI 2018 Mutual Funds and Investment Management Conference.1 Director Blass discussed four main topics: (1) the role...

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CFTC Penalizes Registrant for Outsourced IT Security Lapses Last month, the CFTC settled charges against an organization for its failure to ensure the security of its’ customers’ records and information. The registrant’s third-party vendor gained unauthorized access to more than...

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  • Barry Honig, et al. March 22, 2019
    SEC Settles with Multiple Defendants in Market Manipulation Case and Amends Complaint as to Thirteen Remaining Defendants
  • Carol Ann Pedersen March 20, 2019
    SEC Charges Investment Adviser with Stealing Millions from Investors to Perpetrate Ponzi Scheme
  • Frank Morelli III and Louis Buonocore March 20, 2019
    SEC's Case Against Pump-and-Dump Schemers Concludes

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