Cryptocurrency

"By failing to challenge ourselves to experiment with new approaches to regulation, we, and those whose interests we are pledged to serve, risk surrendering the ...

"The resulting settlement orders and litigation releases leave the industry to guess at the path to compliance.  Candidly, given the approach we have taken, I ...

Prompt notification of risk monitoring analyst requested

The Commission continues to interpret the term ‘‘virtual currency’’ broadly

This is a sample annual employee questionnaire, which comes courtesy of Core Compliance & Legal Services in San Diego

Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...

The SEC has closed the books again on one of the biggest insider trading scandals of this century. Under a consent decree entered in federal ...

Compliance officers have developed various methods to monitor staff to ensure they’re not tempted to trade on material, non-public information learned in meetings

There is current uncertainty about how the securities laws apply to tokens

Compliance officers often complain that they don’t have enough authority in their funds. Too far removed from decisions, too siloed from the bigger company, you’ve ...