Cryptocurrency

If you’re like most advisers who answered IA Watch’s recent industry survey, you’ve not yet taken up the topic of cryptocurrencies with your staff.   ...

IA Watch has obtained a copy of an OCIE sweep exam request letter tied to how advisers are handling cryptocurrencies.   The exam letter probes ...

The NFA is proposing a requirement that CPOs, CTAs, FCMs and others disclose the risks inherent in virtual currencies. The SRO states in a new ...

A sources shares with IA Watch a copy of an OCIE document request letter that focuses on how the adviser handles cryptocurrencies.

Robert Stewart recruited his friend, defendant Richard T. Cunniffe to place trades based on inside information that Robert received from his son, Sean Stewart, an ...

Mizuho failed to maintain and enforce effective information barriers between the International Desk and the U.S. Desk to prevent the sharing of issuer buyback order ...

About one year after the SEC released an investor alert about initial coin offerings, the CFTC has followed suit with its own alert (IA Watch, ...

FINRA is engaged in an effort to greater understand the extent to which brokerage firms are engaged in activities related to digital assets. The SRO ...

In October and November of 2015, Johnson misappropriated material nonpublic information about the proposed acquisition from his relative (“Individual A”), a certified public accountant who ...

Titanium's website contained fabricated testimonials from corporate customers and that Stollaire publicly - and fraudulently - claimed to have relationships with numerous corporate clients. The ...