by Patomak Global Partners | Oct 4, 2022 | 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...
by Patomak Global Partners | Sep 27, 2022 | 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...
by Patomak Global Partners | Sep 20, 2022 | 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...
by Patomak Global Partners | Sep 13, 2022 | 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...
by Patomak Global Partners | Sep 7, 2022 | U.S. Regulatory Update
7 September 2022 Securities and Exchange Commission SEC Charges Investment Adviser and Executives in Fraud Scheme On 30 August, the SEC charged Malta-based registered investment adviser Standard Advisory Services Limited and two of its executives for defrauding...
by Patomak Global Partners | Aug 30, 2022 | U.S. Regulatory Update
30 August 2022 Securities and Exchange Commission SEC Publishes Draft Strategic Plan for Fiscal Years 2022-2026 On 24 August, the SEC released for public comment a draft strategic plan for fiscal years 2022 to 2026. The draft plan would establish three primary goals...
