Hooper, Kearney and Macklin on Cutting Edge Topics in the False Claims Act
The opinion of the SEC in KCD Financial Inc. upholds a FINRA disciplinary action against a FINRA member broker-dealer that sold securities in a private placement when no exemption from registration was available....more
Regulatory Developments - NYDFS Announces Approval of First BitLicense Application from a Virtual Currency Firm: The New York State Department of Financial Services (NYDFS) announced Sept. 22 that it has approved...more
On September 3, the Financial Conduct Authority (FCA) published a press release in connection with its September 7 launch of a new and updated version of the UK Financial Services Register (the “Register”)....more