‘Enforcement 40’ for 2020
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By Securities Docket on May 22, 2018, 5:48 pm
I applaud our fellow regulators in the United States and Canada who are coordinating and participating in efforts to police fraud in the Initial Coin Offering (ICO) markets. These state and provincial regulators play a critical role in protecting Main Street investors. When investors are offered and sold securities, whether through traditional channels or through […]
By Securities Docket on May 22, 2018, 5:46 pm
O’Melveny today announced that Benjamin D. Singer, a former senior prosecutor in the Justice Department’s Criminal Division, is joining the firm as a partner in its White Collar Defense & Corporate Investigations practice…. via Ben Singer, Former Head of DOJ Securities and Health Care Fraud Units, To Join O’Melveny.
By Securities Docket on May 22, 2018, 8:56 am
Enforcement is not an end goal for the Commission; it is a last resort in getting to that goal. Of course, this begs the question, “What is the end goal?” The end goal is fulfilling our mission—protecting investors, facilitating capital formation, and maintaining fair, orderly, and efficient markets. As a regulatory agency, the Commission sets […]
By Securities Docket on May 22, 2018, 8:53 am
San Francisco-based cryptocurrency exchange Kraken’s chief executive on Tuesday noted that the company will “probably” register with the US Securities and Exchange Commission (SEC) as a broker-dealer and an alternative trading system (ATS). via Cryptocurrency Exchange Kraken Will “Probably” Register with SEC.
By Securities Docket on May 22, 2018, 8:52 am
NASAA members from more than 40 jurisdictions throughout North America participated in “Operation Cryptosweep,” which to date has resulted in nearly 70 inquiries and investigations and 35 pending or completed enforcement actions related to ICOs or cryptocurrencies since the beginning of May. NASAA members are conducting additional investigations into potentially fraudulent conduct that may result […]