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27 Jun 2018, 8:08 am by Hedge Fund Lawyer
  Such a position would entail a facts and circumstances determination, and taking such a position is likely a risky strategy based on recent comments from SEC Chairman Clayton. [read post]
5 Apr 2018, 8:24 am by CFM Admin
FINRA’s specific focus areas for 2018 will include: (i) fraud, particularly microcap fraud schemes that target senior investors; (ii) hiring and supervisory practices for high-risk firms and brokers; (iii) cybersecurity; (iv) anti-money laundering; (v) sales practices and product suitability for specific investors, including the supervisory, compliance, and operational infrastructure firms have put in place with respect to ICOs; and (vi) investor protections related to market… [read post]
12 Mar 2018, 12:42 am by Kevin LaCroix
 I fully support Chairman Clayton and Commission staff in their efforts to conduct a comprehensive investigation to understand the full scope of the intrusion and how to better manage cybersecurity risks related to the SEC’s operations. [read post]
29 Jan 2018, 11:28 pm by Kevin LaCroix
Some 40 or so years later, Chairman Clayton’s regeneration of Judge Sporkin’s gatekeeper liability lays the regulatory foundation for a successful and vast SEC ICO assault, which will leave some ICO lawyers looking over their shoulders, and others perhaps dashing for cover. 1970s:  SEC v. [read post]
2 Jan 2018, 5:08 pm by Kevin LaCroix
The Trump administration has been moving at what has been described as a “breakneck pace” to place its nominees in the federal judiciary. [read post]
12 Dec 2017, 4:36 pm by Kevin LaCroix
” Speaking at a conference in Washington a few days later, SEC Chairman Jay Clayton reinforced the Cyber Unit’s ICO mission and jurisdiction, noting that: “ . . . [read post]
4 Sep 2017, 2:20 pm by Kevin LaCroix
The Trump administration also has been moving at what has been described as a “breakneck pace” to place its nominees in the federal judiciary. [read post]
4 Aug 2017, 6:40 am
The witnesses were then placed under the rule and excluded from the courtroom. [read post]
23 Jul 2017, 4:00 am by Administrator
The Court had adopted the “unfettered” language 83 years earlier (in Clayton v. [read post]
12 Jul 2017, 3:50 am by Kevin LaCroix
Proof of Life’s screenplay was partly inspired by Thomas Hargrove’s book The Long March to Freedom, which recounts how the release of the once-kidnapped Hargrove was negotiated by Thomas Clayton, the founder of his eponymous kidnap-for-ransom consultancy Clayton Consultants (now part of risk management firm, Triple Canopy). [read post]