Anne Evans

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Articles

"Under The Wire" E-Comms Settlements: More Confusion Than Closure

Jan 24, 2025 | mondaq.com | Peter Altman |Michael Asaro |Anne Evans |Katherine Goldstein

On January 13, 2025, the U.S. Securities and Exchange Commissionannounced settled enforcement actions withfive registered investment advisers for failing to maintain andpreserve internal electronic communications.
Cross-Border Implications Of The FCA's Consultation Paper On Publishing Information About The Opening And Progress Of Investigations

Apr 3, 2024 | mondaq.com | Peter Altman |Michael Asaro |Charles Connolly |Anne Evans

Last month, the United Kingdom Financial Conduct Authority (FCA) announced that it is considering new procedures under which it would publicly identify firms that are under investigation as soon as the investigation has been opened.1 The consultation period closes on April 30, 2024. (See our recent client alert here).
The 'Eddie Murphy Rule' Earns Its Moniker: The CFTC Brings A Classic Insider Trading Case

Jan 2, 2024 | mondaq.com | Peter Altman |Michael Asaro |Brian Daly |Anne Evans

While it took a few decades to surface, the fact pattern set forth in the movie "Trading Places" has finally come to pass.
The SEC’s Second NFT Enforcement Action: SEC v. Stoner Cats 2

Sep 14, 2023 | lexology.com | Peter Altman |Michael Asaro |Charles Connolly |Anne Evans |Katherine Goldstein |Claudius Modesti | +3 more

Key PointJust over two weeks after the SEC announced the settlement of its first NFT enforcement action against Impact Theory, on September 13, 2023, the SEC announced its second NFT enforcement action against SC2, the creator of a popular, celebrity-backed animated web series. The SEC charged SC2 with conducting an unregistered offering of digital assets in the form of non-fungible tokens called “Stoner Cats.”SEC v.
The SEC's First NFT Enforcement Action: SEC v. Impact Theory

Aug 31, 2023 | mondaq.com | Peter Altman |Michael Asaro |Charles Connolly |Anne Evans

On August 28, 2023, the SEC charged Impact Theory, LLC, a media company with an unregistered securities offering through its sale of NFTs. This marks the first time that the SEC has brought an enforcement action involving the sale of NFTs as unregistered securities. This may signal a new effort by the SEC to bring the NFT market, which has exploded in popularity in recent years, into its jurisdiction. As part of the settlement, the company agreed to pay $6.1 million in disgorgement and penalties.
The SEC’s First NFT Enforcement Action: SEC v. Impact Theory

Aug 29, 2023 | lexology.com | Peter Altman |Michael Asaro |Charles Connolly |Anne Evans |Katherine Goldstein |Claudius Modesti | +3 more

Key PointsOn August 28, 2023, the SEC charged Impact Theory, LLC, a media company with an unregistered securities offering through its sale of NFTs. This marks the first time that the SEC has brought an enforcement action involving the sale of NFTs as unregistered securities. This may signal a new effort by the SEC to bring the NFT market, which has exploded in popularity in recent years, into its jurisdiction.