Search for: "Matter of Mallon"
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30 Sep 2019, 6:46 am
In Mallon v. [read post]
16 Jul 2019, 10:18 am
FINRA Matters FINRA Begins Effort to Simplify Firms’ Digital Experience. [read post]
21 May 2019, 1:20 pm
” *** About Cole-Frieman & Mallon LLP Cole-Frieman & Mallon LLP is a premier boutique investment management law firm, providing top-tier, responsive and cost-effective legal solutions for financial services matters. [read post]
22 Apr 2019, 4:53 pm
. **** SEC Matters SEC Publishes Examination Priorities for 2019. [read post]
16 Oct 2018, 3:09 am
Large-Scale Matters – the CFTC has increased enforcement actions against large-scale matters (i.e. matters that threaten basic market integrity). [read post]
9 Oct 2018, 2:33 am
. *** SEC MATTERS Enforcement SEC Charges Digital Asset Hedge Fund Manager On September 11, the Securities and Exchange Commission (“SEC”) announced the settlement of charges against a digital asset hedge fund and its manager. [read post]
29 Aug 2018, 12:13 pm
Cohen & Company specializes in the investment industry and advises cryptocurrency funds on important tax, audit and operational matters. [read post]
26 Jul 2018, 2:57 pm
Cole-Frieman & Mallon LLP has been instrumental in structuring the launches of some of the first digital currency-focused hedge funds and works routinely on matters affecting the digital asset industry. [read post]
12 Jul 2018, 8:53 am
Digital Asset Matters We see many thought-provoking items in the digital asset sector as the industry moves towards greater institutional infrastructure. [read post]
10 Jul 2018, 3:57 am
FINRA MATTERS Enforcement FINRA Suspends a Member for Failure to Disclose Outside Business Activity. [read post]
9 Jul 2018, 4:25 am
Overview of Regulation A+ for Token Sponsors Token issuers have come under increasing scrutiny with respect to their offerings on the heels of various statements by SEC personnel (see here, here and here). [read post]
3 Jul 2018, 9:34 am
Cole-Frieman & Mallon LLP has been instrumental in structuring the launches of some of the first digital currency-focused hedge funds and works routinely on matters affecting the digital asset industry. [read post]
29 Jun 2018, 10:10 am
ATS Registration Overview for Digital Asset Platforms Digital asset platforms located in the U.S. that facilitate trading and exchange of digital assets (which are deemed to be securities) are generally subject to securities laws requiring such platforms to be registered as a national securities exchange (“NSE”) or fall within an exemption from NSE registration. [read post]
27 Jun 2018, 8:08 am
Digital Assets and Restricted Securities Background Many recent Initial Coin Offerings (ICOs) and other token sales are being conducted through a Simple Agreement for Future Tokens (SAFT) or other private placement that exempts the token from registration as a security with the SEC. [read post]
9 Apr 2018, 5:51 pm
Cohen & Company specializes in the alternative investment industry and advises cryptocurrency funds on important tax, audit and operational matters. [read post]
5 Apr 2018, 8:24 am
FINRA Matters FINRA Published Regulatory and Examination Priorities Letter for 2018. [read post]
4 Apr 2018, 11:28 am
CFTC Matters Speeches Testimony of Chairman J. [read post]
15 Dec 2017, 9:01 am
This update includes the following: Cryptocurrency Leadership Annual Compliance & Other Items Annual Fund Matters Annual Management Company Matters Regulatory & Other Changes in 2016 Compliance Calendar **** Cryptocurrency Leadership: This year digital assets and cryptocurrencies have emerged in force as a separate and distinct asset class. [read post]
15 Dec 2017, 9:01 am
This update includes the following: Cryptocurrency Leadership Annual Compliance & Other Items Annual Fund Matters Annual Management Company Matters Regulatory & Other Changes in 2016 Compliance Calendar **** Cryptocurrency Leadership: This year digital assets and cryptocurrencies have emerged in force as a separate and distinct asset class. [read post]
27 Oct 2017, 2:16 am
CFTC Matters: CFTC Grants SEF and DCO Registration to LedgerX. [read post]
