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Brokers Enforcement

Sheppard Mullin Richter & Hampton LLP

Increased Scrutiny into Agents & Brokers in the Medicare Advantage Space

Most Medicare Advantage (“MA”) beneficiaries rely on agents and brokers to help them navigate the complex process of selecting a health plan that will meet their needs. In exchange, brokers and agents received certain fixed...more

ArentFox Schiff

Rise in VCM Business May Trigger CFTC Oversight on Sales of Carbon Offset Credits

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Many major companies have announced a blueprint to minimize their carbon footprint. Some companies have gone so far as to proclaim that they will achieve “net zero” emissions in the near future. To accomplish their climate...more

Harris Beach PLLC

New York Proposes Greater Regulation and Enforcement of Cryptocurrency Industry

Harris Beach PLLC on

New York is considering groundbreaking legislation that the state’s attorney general calls the “strongest and most comprehensive set of regulations on cryptocurrency in the nation.” Attorney General Letitia James said the...more

White & Case LLP

Mexico’s CNBV updates remote contracting requirements

White & Case LLP on

On Thursday, September 9, the resolutions that reform, add and repeal the general rules on the prevention and identification of operations with resources of illicit origin applicable to financial cooperative associations...more

White & Case LLP

Regulatory update to remote onboarding procedures of various financial institutions

White & Case LLP on

On Thursday, September 9, the resolutions that reform, add and repeal the general rules on the prevention and identification of operations with resources of illicit origin applicable to financial cooperative associations...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The SEC brought another custody rule action this week – against the outside auditors alleging that one examination was insufficient and the others incomplete thereby causing the client to violate the surprise audit...more

Goodwin

Financial Services Weekly News Roundup - June 2015 #3

Goodwin on

Regulatory Developments - CFTC Provides No-Action Relief from Introducing Broker and Commodity Trading Advisor Registration to Non-U.S. Persons Who Advise on or Facilitate Swaps Transactions for Certain International...more

Orrick, Herrington & Sutcliffe LLP

Going for Brokerages: FINRA and SEC Take Aim at Deficient Cyber Policies and Practices

On Feb. 3, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) each released reports regarding cybersecurity issues for brokerage and advisory firms, both of which should be...more

Proskauer Rose LLP

Broker-Dealer Beat - September 2014

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The SEC recently settled an enforcement action against brokerage firm Monness, Crespi, Hardt & Co. ("MCH") for deficient insider trading procedures. This case is an important reminder of some key elements of effective insider...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The Commission prevailed on summary judgment in an action against a broker which alleged he misappropriated client funds. The agency also filed actions centered on: an audit failure; the EB-5 immigration program; undisclosed...more

Dorsey & Whitney LLP

Broker, Two Employees Alleged to Violate SEC Market Access Rule

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The Commission’s inspection program, conducted by the Office of Compliance Inspections and Examinations or OCIE, has been the source of a number of enforcement actions. One example is the recently filed case against dark pool...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update -- February 2013

In This Issue: Regulatory Updates - FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling. Enforcement + Litigation - Enforcement Division priorities target hedge...more

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