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13 Feb 2024, 9:09 am
Of the 23 Exemptions, the following are relevant to entities that operate in the investment management space: Any broker or dealer of securities that is registered under Section 15 of the Securities Exchange Act of 1934 (the “Exchange Act”); Any entity registered with the SEC under the Exchange Act; An investment company under Section 3 of the Investment Company Act and registered with the SEC; An RIA (please note that state registered investment advisers and ERAs that are… [read post]
11 Feb 2024, 5:00 pm
NetChoice, the Silicon Valley trade group behind both cases, argues in its briefs that content moderation by social media platforms is the First Amendment equivalent of editorial discretion by a newspaper, and that state regulation of this editorial discretion in either context is anathema. [read post]
8 Feb 2024, 9:01 pm
In response to the 2008 crisis, Congress mandated that the SEC and the Commodity Futures Trading Commission (CFTC) adopt rules to establish reporting requirements for private funds. [read post]
8 Feb 2024, 12:20 pm
The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the Commodity Futures Trading…Read the Full Press Release Have a securities law question? [read post]
5 Feb 2024, 4:46 am
Commodity Futures Trading Commission during Trump’s tenure, was shot last Monday. [read post]
31 Jan 2024, 7:04 am
The Commodity Futures Trading Commission (CFTC) experienced record-breaking numbers in FY 2023, both in the number of whistleblower tips received and in the number of digital asset enforcement cases initiated. [read post]
30 Jan 2024, 9:02 pm
The requirement that defendants must either admit or at least promise not to deny the government’s allegations of wrongdoing as a condition of settlement has not been widely adopted by federal agencies.[18] Some agencies even explicitly allow settling defendants to deny the allegations of wrongdoing.[19] As the Federal Trade Commission noted when approving one such settlement in 2012, it was confident in the work of its staff: it is the evidentiary record… [read post]
30 Jan 2024, 5:50 am
” However, “AI technology can’t predict the future or sudden market changes,” the CFTC said. [read post]
26 Jan 2024, 8:58 am
Securities and Exchange Commission (SEC) or Commodities Futures Trading Commission (CFTC). [read post]
25 Jan 2024, 9:01 pm
” Unlike whistleblower programs run by agencies like the Securities and Exchange Commission, Commodity Futures Trading Commission and the Financial Crimes Enforcement Network of the Department of the Treasury, the Program does not offer financial incentives for reporting misconduct. [read post]
24 Jan 2024, 4:29 pm
It was an active year for fraud enforcement at the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). [read post]
23 Jan 2024, 1:11 pm
Commodity Futures Trading Commission (CFTC) Whistleblower Office posted a Notice of Covered Action (NCA) for a December enforcement action in which a California resident and his corporation agreed to pay over $5 Million for engaging in a romance fraud scheme. [read post]
19 Jan 2024, 10:34 am
Freepoint also agreed to disgorge more than $7.6 million to the Commodity Futures Trading Commission (CFTC) in a related matter. 4 — Corficolombiana ($80M). [read post]
17 Jan 2024, 11:25 am
According to a leading whistleblower attorney, the Commodity Futures Trading Commission (CFTC) Whistleblower Program is key to the United States’ efforts to police cryptocurrency, but Congress must pass a bill to save the program from financial collapse. [read post]
16 Jan 2024, 9:05 pm
Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission. [read post]
16 Jan 2024, 12:04 pm
It was a relatively quiet year for the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) in their payout of whistleblower awards under their respective whistleblower programs. [read post]
14 Jan 2024, 6:30 pm
Background On 22 December 2023, the Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) issued an updated joint circular on intermediaries’ virtual asset-related activities (Joint Circular) with appendices. [read post]
11 Jan 2024, 2:19 pm
“Whistleblowers should consider filing claims under the anonymous and confidential whistleblower programs operated by the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC) and FinCEN. [read post]
11 Jan 2024, 8:47 am
Commodity Futures Trading Commission (CFTC). [read post]
11 Jan 2024, 7:27 am
Nelson, J.D.The CFTC’s Technology Advisory Committee (TAC) met this week to consider multiple emerging issues, including how commodities regulators should address the impact of artificial intelligence (AI) on commodities markets. [read post]
