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Securities and Exchange Commission (SEC) ASIC

K&L Gates LLP

March 2024 ESG Policy Update—Australia

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Australian Update - Australian Securities and Investments Commission Continues Greenwashing Enforcement Efforts - On 28 February 2024, the Australian Securities and Investments Commission (ASIC) reported that an outsourced...more

A&O Shearman

Regulators and reforms: how Australia tackled white collar crime in 2023 and what to expect in 2024

A&O Shearman on

Regulators and enforcement authorities in Australia intensified their efforts to curb white-collar crime in 2023. They targeted fraud, money laundering, tax evasion, cybercrime, and corruption across multiple industries,...more

Katten Muchin Rosenman LLP

Bridging the Weeks - June 2019

Last week, a Canada-based social media company was sued by the Securities and Exchange Commission for purportedly conducting an unregistered securities offering to United States persons in connection with an initial coin...more

K&L Gates LLP

Regulators Tighten the Reins On Robo Advisory Firms

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In December 2018, the US Securities and Exchange Commission (SEC) settled an enforcement action with Wealthfront, one of the industry’s leading robo advisors....more

Perkins Coie

Blockchain Week in Review - October 2018

Perkins Coie on

U.S. Developments - Federal Bank Regulators Issue Joint Statement on Collaborative BSA/AML Compliance - On October 3, 2018, a group of federal bank regulators and the Financial Crimes Enforcement Network (“FinCEN”)...more

BakerHostetler

Blockchain Applications for Enterprise and Payments Evolve, New Legislation Proposed, Mining Malware Surges and a Bitcoin Bug Is...

BakerHostetler on

Blockchain Initiatives Pursue Solutions for Refugees, Voting, Smart Cities, Defense and Food Safety - The World Food Programme (WFP) and UN Women announced last week that they are collaborating in an initiative to use...more

A&O Shearman

Imminent changes to Australian rules for foreign financial service providers

A&O Shearman on

The Australian Securities and Investments Commission has released a consultation paper in respect of potential reforms of the law applying to Foreign Financial Service Providers (FFSP), broadly foreign licensees who deal with...more

K&L Gates LLP

ASIC FFSP Repeal of Class Orders

K&L Gates LLP on

Offshore providers of financial services to the Australian market should be aware that the Australian Securities & Investments Commission (ASIC) has recently repealed its relief for regulated foreign financial services...more

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