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Regulating the Ether: Lessons for the MENA Digital Asset Industry from U.S. Enforcement Actions

As the global digital asset industry continues to grow, regulators worldwide have increased efforts to define and shape the legal landscape through various approaches. In the UAE, for example, the Financial Services...more

The Long Arm of the CFTC: What Stakeholders in Brazil and Latin America Should Know

Established in 1974 in Washington, D.C., the CFTC was originally responsible for overseeing and regulating the commodity futures and options markets in the United States. Initially, its primary focus was to regulate trading...more

Crypto and DeFi Platforms: Aggressive SEC Enforcement on the Way? [Audio]

SEC Chairman Gary Gensler has left little doubt that his commission will closely monitor activity in the cryptoasset markets and the actions of decentralized finance, or DeFi platforms, as investor interest continues to grow....more

SEC Chairman Signals Intensified Enforcement and Regulatory Scrutiny of Crypto and DeFi

SEC Chairman Gary Gensler suggests SEC will aggressively police crypto assets and decentralized finance ("DeFi") platforms while seeking expanded authority to regulate these fast-growing industries....more

The Long Arm of the CFTC: What Stakeholders in the MENA Region Should Know

Established in 1974, the CFTC was originally responsible for overseeing and regulating the commodity futures and options markets in the United States. Initially, its primary focus was to regulate trading of futures related to...more

DeFi Identified as Potential Focus for CFTC Enforcement Action

CFTC Commissioner asserts that Decentralized Finance ("DeFi") likely violates the Commodity Exchange Act ("CEA") and that the regulator should respond accordingly. DeFi is an umbrella term encompassing a range of...more

The DOJ and the CFTC Are Focused on Commodities Fraud Enforcement—Are You? Suggestions for Preparing Your Organization

The Department of Justice ("DOJ") and the Commodity Futures Trading Commission ("CFTC") in recent years have worked closely together to target companies and individuals for violations of the Commodity Exchange Act and other...more

JONES DAY TALKS®: CFTC and DOJ Target Derivatives Trading Across Industries [Audio]

In an effort to pursue unlawful trading in the derivatives markets, the U.S. Commodity Futures Trading Commission ("CFTC") and U.S. Department of Justice ("DOJ") have in recent years engaged in unprecedented levels of...more

SEC’s Division of Examinations Signals Continuing Focus on Broker-Dealer AML Compliance Obligations

The Situation: The Securities and Exchange Commission’s Division of Examinations ("EXAMS") released a Risk Alert on March 29, 2021, reminding broker-dealers of their obligation to comply with anti-money laundering ("AML")...more

New Unit Signals CFTC Targeting ESG Issues and Financial System's Climate Risks

The Situation: The Commodity Futures Trading Commission ("CFTC") has established a new unit dedicated to addressing climate risk in the financial system, providing yet another example of financial services regulators...more

What the Financial Services Industry Can Expect From State Attorneys General in a Biden Administration

State attorneys general have become significant players in the financial world, using a number of special investigative and enforcement tools to investigate and prosecute alleged wrongdoing by financial market participants....more

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