SEC Charges 38 Entities Over False Investment Adviser Filings
The SEC has charged 38 entities for allegedly using false filings to make themselves appear legitimate as registered investment advisers, ...
Tag: Enforcement
Belgium Police Target Crypto Wallets In Cross-Border Piracy Crackdown
Belgian federal police have targeted crypto wallets linked to offshore piracy platforms in a cross-border enforcement action, according to an ...
CFTC Issues Event Contract Guidance As Prediction Markets Face Scrutiny
The CFTC has issued regulatory enforcement guidance for event contract derivatives, sharpening the lines around prediction markets at a time ...
SEC Charges 38 Entities Over False Investment Adviser Filings
The SEC has charged 38 entities for allegedly using false filings to make themselves appear legitimate as registered investment advisers. ...
FTX Insiders Ellison And Wang Finalize CFTC Settlements With Permanent Bans
Former FTX executives Caroline Ellison and Gary Wang have finalized CFTC consent orders that impose permanent trading and registration bans, ...
CFTC Fines Former White House Staffer Over Event Contract Insider Trading
The CFTC has fined former White House staffer Gabriel Perez $172,000 over alleged insider trading in event contracts, marking another ...
CFTC Self-Reporting Guidelines Could Change Crypto Enforcement Incentives
CFTC Self-Reporting Guidelines Could Change Crypto Enforcement Incentives - Read the full analysis.
SEC Boston Appointment Is A Small Personnel Move With A Larger Enforcement Backdrop
SEC personnel announcements do not usually move markets, but they do help show how the agency is staffing its enforcement ...
SEC Boston Appointment Is A Small Personnel Move With A Larger Enforcement Backdrop
SEC personnel announcements do not usually move markets, but they do help show how the agency is staffing its enforcement ...
SEC Retail Fraud Unit Puts Crypto Scam Crackdowns Back In Focus
The SEC is not stepping away from retail-facing crypto enforcement. Its new Retail Fraud Working Group puts scams, microcap promotions, ...
SEC Retail Fraud Unit Puts Crypto Scam Crackdowns Back In Focus
The SEC is not stepping away from retail-facing crypto enforcement. Its new Retail Fraud Working Group puts scams, microcap promotions, ...
