On October 21, 2024, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) issued its annual examination priorities for fiscal year 2025. As with its 2024 examination...more
10/24/2024
/ Artificial Intelligence ,
Bank Secrecy Act ,
Capital Markets ,
Compliance ,
Cybersecurity ,
Digital Assets ,
Duty of Care ,
Duty of Loyalty ,
Emerging Technologies ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Form PF ,
Hedge Funds ,
Incident Response Plans ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
New Rules ,
Policies and Procedures ,
Private Equity Funds ,
Regulation S-P ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
A recent action brought by the U.S. Securities and Exchange Commission (“SEC”) against a former Coinbase employee for insider trading in crypto tokens (the “Wahi Action”) highlights the lack of certainty surrounding the...more
8/2/2022
/ Anti-Fraud Provisions ,
CFTC ,
Coinbase ,
Cryptoassets ,
Department of Justice (DOJ) ,
Digital Assets ,
Enforcement Actions ,
Howey ,
Investment Adviser ,
Investment Contract ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Wire Fraud