U.S. Regulatory Update

4 October 2022 Highlights SEC and CFTC Charge Financial Institutions with Widespread Recordkeeping Failures in Off-Channel Communications On 27 September, the SEC charged 15 broker-dealers and one affiliated investment adviser for failing to maintain and preserve...

U.S. Regulatory Update

27 September 2022                                                                Securities and Exchange Commission  SEC Investor Advisory Committee Holds Meeting Discussing Four Panels and Three Recommendations On 21 September, the SEC Investor Advisory Committee...

U.S. Regulatory Update

20 September 2022 Highlights  White House Releases Crypto Regulatory Framework On 16 September, the White House released its “Framework for Responsible Development of Digital Assets,” which is comprised of reports released by federal agencies in response to the 9...

U.S. Regulatory Update

13 September 2022 Securities and Exchange Commission  SEC Chair Gensler Delivers Remarks on Crypto Regulation On 8 September, SEC Chair Gary Gensler delivered remarks at SEC Speaks 2022 on the application of the securities laws to cryptocurrency. Gensler reiterated...
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