Daily Compliance News: May 13, 2025, The Leaving on a Jet Plane Edition
Everything Compliance: Episode 153, The CW 25 Edition
Navigating the Future of Payment Stablecoins: Legislative Updates and Market Implications — The Crypto Exchange Podcast
Daily Compliance News: April 22, 2025, The Upping Your Game Edition
Daily Compliance News: April 9, 2025, The Corruption at the DOJ Edition
10 For 10: Top Compliance Stories For The Week Ending April 5, 2025
Daily Compliance News: April 4, 2025, The Tariffs on Penguins Edition
Daily Compliance News: April 3, 2025, The Tribute to Ice Edition
Great Women in Compliance: The Future of Enforcement with Jennifer Lee
Regulatory Ramblings: Episode 65 – The Trump Administration’s Decision to Halt FCPA Enforcement – The Implications for Asia and the World with Tom Fox, Malcolm Nance, and Philip Rohlik
Navigating 2025: The SEC's Evolving Role in Cryptocurrency Enforcement — The Crypto Exchange Podcast
The SEC's Reach Beyond Publicly Traded Companies
Everything Compliance: Episode 151, The What is Illegal DEI Edition
Everything Compliance, Shout Outs and Rants: Episode 151, The What is Illegal DEI Edition
Fintech Focus Podcast | Crypto 2.0: What’s Next in the US?
Episode 351 -- Deep Dive into the AAR FCPA Settlement
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Are the Differences Between Private & Public Offerings?
Episode 345 -- Raytheon Pays $950 Million to Resolve Fraud, FCPA, ITAR and False Claims Act Violations
Effective Compliance Training
A Conversation with SEC Commissioner Hester Peirce
Enforcement during Gensler administration was considerably higher than during the previous administration. The Securities and Exchange Commission (SEC) brought 33 cryptocurrency-related enforcement actions in 2024, the...more
Stablecoin Initiatives Announced by Fintech Companies, DeFi Protocols - Major U.S. payments firm recently announced plans to enable “disbursement partners” to use the PYUSD stablecoin to settle cross-border money...more
U.S. Fintech Firm Launches Stablecoin; Circle Launches ‘Programmable Wallets’ - A major U.S. fintech and payments firm recently announced the launch of a U.S. dollar-denominated stablecoin, PYUSD. According to a press...more
With Increased Congressional Scrutiny, Continued Interest From Committees in Both the House and Senate, and a Turf War Between Congress and Key Regulatory Agencies, Digital Assets Continue to Be Under the Regulatory...more
Takeaways - Most existing agreements covering the exploitation of intellectual property rights did not contemplate how NFTs should be treated. Drafting and negotiating agreements involving NFTs requires an...more
The SEC is set to challenge the old adage — “the more things change, the more they stay the same” — with the establishment of FinHub as a standalone office. On December 3, the Securities and Exchange Commission (SEC)...more
The SEC has sued “cybersecurity pioneer John McAfee” for “promoting the sale of cryptocurrencies without disclosing that he was being paid to do so.” McAfee allegedly recommended “at least seven initial coin offerings to his...more
With the world slowly coming out of the COVID-19 lock down and the economy hopefully on the path to recovery there have been many developments in the blockchain / crypto space over the last few weeks....more
U.S. Developments - Libra Association updates white paper with plans to release multiple stablecoins - In a newly updated white paper, Facebook’s Libra Association is scrapping its original plan to create a global...more
When we started thinking about this update, less than two weeks ago, the proposal by the U.S. Securities Exchange Commission (“SEC”) to liberalize Reg A and Reg CF (as discussed below) was the biggest news on our minds…. How...more
Weekly Focus: -ICO Issuer Settles SEC Registration Charges - IRS and Cryptocurrency Industry Groups to Meet Amid Agency Enforcement Push - Washington Blockchain Work Group Bill Passes State Senate - Brazilian Central...more
Asset managers will need to consider how FinTech developments impact their business model in 2020, including developments related to digital asset securities, cryptocurrency-based ETFs and blockchain. In this Bottom Line...more
It began as an obscure experiment in unregulated virtual currency. Initially undistinguished from Bitcoin, blockchain evolved to become one of the pillars of web 3.0, enabling new means of trust, transparency, security and...more
When is a digital asset a security or a commodity? Are SAFTs safe? Does hyping blockchain create an expectation of profit? Is blockchain a trademark, trade secret or neither? Are free tokens tax-free? Who is Satoshi Nakamoto?...more
Many crypto entrepreneurs are seeking to build decentralized networks in which a token serves as a means of exchange on, or provides access to a function of the network. In the course of building out the network, they need...more
SEC Commissioner Peirce has proposed a three-year safe harbor for qualifying token projects, but regulatory clarity remains elusive. SEC Commissioner Hester Peirce has been a perennial advocate of innovation in the...more
U.S. Developments - U.S. Regulatory Developments - Bill Addressing Tax Treatment of Crypto Transactions Introduced to the House - On January 16, 2020, Congresswoman Suzan DelBene (WA) and Congressman David Schweikert...more
Digital assets and Blockchain technologies which were once described as the tools of criminals, are now a key part of efforts by traditional financial services firms to transform their businesses and innovative firms looking...more
U.S. Developments - Federal Reserve Governor Speaks on Stablecoins and Related Risks - On December 18, 2019, Governor Lael Brainard of the U.S. Federal Reserve delivered a speech entitled “Update on Digital Currencies,...more
The United States is the largest financial services market in the world. For an international business, expanding operations to the U.S. can facilitate capital-raising efforts, provide access to one of the world’s deepest...more
U.S. Developments - U.S. Federal Regulatory Developments - SEC Staff Holds FinTech Forum to Discuss Blockchain Technology and Digital Assets - On May 31, 2019, the staff of the U.S. Securities and Exchange Commission...more
Recent guidance from the SEC’s Strategic Hub for Innovation and Financial Technology (FinHub) and Division of Corporate Finance have shed light on the SEC’s view toward initial coin offerings (ICOs) by applying a classic...more
U.S. Developments - Regulatory Updates - SEC Commissioner Peirce Says Guidance on Crypto Token Sales Is Coming - In a speech at the University of Missouri School of Law, Hester Peirce, one of the SEC’s commissioners,...more
In this episode, Jeremy McLaughlin and Dan Cohen discuss blockchain use cases, and the regulatory trends and associated frameworks for ICOs, and cryptocurrencies. In particular, they provide an overview of the application of...more
On January 22, 2019 FINRA, the self-regulatory organization for U.S. broker-dealers, released its “Risk Monitoring and Examination Priorities Letter” for 2019. A number of of FINRA’s hot topics for 2019 should be of interest...more