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Securities Docket

Credit Suisse Takes $4.7 Billion Hit on Archegos Meltdown – WSJ

By Securities Docket on April 6, 2021, 8:03 am

Credit Suisse Group AG reported a $4.7 billion hit from the meltdown of Archegos Capital Management, slashed its dividend and said its investment banking and risk chiefs would leave the bank. The Swiss lender has been the hardest hit by the collapse late last month of Archegos, a U.S. family investment firm, suffering a major […]

Posted in Industry, People, Top | Tagged Archegos, Credit Suisse

China Creates its Own Digital Currency, a First for Major Economy – WSJ

By Securities Docket on April 5, 2021, 2:40 pm

A thousand years ago, when money meant coins, China invented paper currency. Now the Chinese government is minting cash digitally, in a re-imagination of money that could shake a pillar of American power. It might seem money is already virtual, as credit cards and payment apps such as Apple Pay in the U.S. and WeChat […]

Posted in Global, Top | Tagged China, Cryptocurrency, Yuan

Citi Hires FinCEN’s Blanco as Financial Crimes Compliance Chief – BNN Bloomberg

By Securities Docket on April 2, 2021, 7:08 pm

Citigroup Inc. hired Ken Blanco, the director of the Financial Crimes Enforcement Network, as its chief compliance officer of its newly created financial crimes unit. Blanco worked on combating financial crimes and enforcing regulations on money laundering and terrorism financing at FinCEN, a bureau in the Department of Treasury. Before that, he spent 29 years […]

Posted in Industry, People, Top | Tagged Citigroup, Compliance

Citadel Securities Hires Ex-CFTC Chairman Tarbert as Legal Chief – Bloomberg

By Securities Docket on April 2, 2021, 10:02 am

Citadel Securities hired Heath Tarbert, the former chairman of the U.S. Commodity Futures Trading Commission, as its chief legal officer. Tarbert led the nation’s main derivatives regulator from 2019 until January, when he became a commissioner. He previously served as a senior official in the Treasury Department, and before that led the bank-regulatory practice at […]

Posted in People, Top | Tagged Regulators

Greenberg Traurig Nabs Schulte Roth White Collar Co-Chair

By Securities Docket on April 2, 2021, 9:43 am

Greenberg Traurig bolstered its criminal defense ranks with the addition of Adam Hoffinger, the co-chair of the white collar defense and government investigations group at Schulte Roth & Zabel and a former federal prosecutor. Source: Greenberg Traurig Nabs Schulte Roth White Collar Co-Chair (1)

Posted in People, Top | Tagged Lawyers

Coinbase gets all-clear from SEC, setting stage for landmark crypto listing | Reuters

By Securities Docket on April 2, 2021, 9:26 am

Coinbase Global Inc, the largest U.S. cryptocurrency exchange, has received approval from the U.S. Securities and Exchange Commission (SEC) to list its shares on the Nasdaq, paving the way for what will be a landmark victory for cryptocurrency advocates. The company, which plans to go public through a so-called direct listing, expects to list its […]

Posted in Industry, SEC, Top | Tagged Cryptocurrency, IPOs

Coinbase Hires Ex-SEC Director to Run Capital Markets Division – WSJ

By Securities Docket on March 30, 2021, 1:17 pm

Coinbase named Brett Redfearn, most recently the director of the SEC’s division of trading and markets, to run its capital-markets group, which includes its exchange operations and a brokerage and custody business. Mr. Redfearn, who left the SEC in December, is the second high-ranking former SEC official this week to take a role with a […]

Posted in People, SEC, Top | Tagged Coinbase

Is SPAC-Related Legal Action About to Heat Up? | The D&O Diary

By Securities Docket on March 30, 2021, 9:06 am

Anyone reading the business pages know that SPAC IPO activity continues to surge; indeed, we have not yet even officially completed 2021’s first quarter, yet the number of SPAC IPOs completed and the amount of funding raised have both already exceeded the totals for the full year 2020. As I have already noted in prior […]

Posted in Class Actions | Tagged SPACs

Asset management giant Fidelity files for a bitcoin ETF

By Securities Docket on March 24, 2021, 6:31 pm

A new filing with the U.S. Securities and Exchange Commission indicates that asset management giant Fidelity is seeking to create a bitcoin exchange-traded fund (ETF). The Wise Origin Bitcoin ETF is the latest entrant in a growing race to launch a bitcoin exchange-traded product in the United States. According to the filing, a firm called […]

Posted in Industry, Top | Tagged ETFs

Manhattan Is On Track to Have Its First Black U.S. Attorney – The New York Times

By Securities Docket on March 24, 2021, 9:55 am

Senator Chuck Schumer will ask President Biden to name Damian Williams as the next U.S. attorney in Manhattan, virtually ensuring that one of the most powerful and important federal prosecutor’s offices in the country will be led for the first time by a Black man, the senator’s office said on Tuesday. Source: Manhattan Is On […]

Posted in Criminal, Top | Tagged Prosecutors, SDNY

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