Just like the rest of us, the financial services industry wasn't immune from the numerous and unprecedented pandemic-related challenges over the past year. Through our annual Financial Markets Litigation and Enforcement...more
The recent defaults by Archegos caused several large broker-dealers to incur significant losses. Archegos represented that it operated as a single-family office, which made it exempt from many provisions of the federal...more
CFTC -
CFTC and UK Financial Conduct Authority Sign Cooperation Arrangement on Financial Technology Innovation -
On February 19, the Commodity Futures Trading Commission and the UK Financial Conduct Authority (FCA)...more
Although 2017 has barely begun, the Securities and Exchange Commission (SEC) has continued to aggressively pursue enforcement actions against companies for whistleblower-related violations. As part of its initiative, the SEC...more