-
Apr 12, 2024 | 
mondaq.com | Peter Altman |Michael Asaro |Charles Connolly |Brian Daly
On April 3, 2024, the U.S. Securities and Exchange Commission
(SEC) announced its first enforcement action against
a registered investment adviser (RIA) with no ties to a
broker-dealer regarding so-called "off-channel"
communications—that is, communications sent away from
firm-captured devices and/or firm-approved communications
platforms.
-
Apr 10, 2024 | 
jdsupra.com | Peter Altman |Michael Asaro |Charles Connolly
April 10, 2024 Peter Altman, Michael Asaro, James Joseph Benjamin Jr., Charles Connolly, Brian Daly, Jason Daniel, Anne Evans, Katherine Goldstein, Lance Jasper, Claudius Modesti, Parvin Daphne Moyne, Douglas Rappaport, Kaitlyn Tongalson, Jacqueline Yecies Akin Gump Strauss Hauer & Feld LLP + Follow x Following x Following - Unfollow Contact To embed, copy and paste the code into your website or blog: On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced its first...
-
Apr 8, 2024 | 
lexology.com | Peter Altman |Michael Asaro |Charles Connolly |Brian Daly |Jason Daniel |Anne Evans | +7 more
On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced its first enforcement action against a registered investment adviser (RIA) with no ties to a broker-dealer regarding so-called “off-channel” communications—that is, communications sent away from firm-captured devices and/or firm-approved communications platforms.
-
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).
-
Apr 3, 2024 | 
lexology.com | Lance Jasper |Peter Altman |Michael Asaro |Jan-Paul Bruynes |Charles Connolly |Brian Daly | +8 more
Key Points In a thorough decision, a federal district judge in New York largely denied Coinbase’s motion for judgment on the pleadings in a case brought by the SEC. Applying the plaintiff-friendly standards required at the pleading stage, the court accepted the SEC’s factual allegations as true and concluded that the SEC plausibly alleged that Coinbase violated the federal securities laws through its involvement in crypto-asset transactions involving investment contracts.
-
Apr 1, 2024 | 
jdsupra.com | Peter Altman |Michael Asaro |Charles Connolly
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).
-
Feb 22, 2024 | 
mondaq.com | Peter Altman |Michael Asaro |Charles Connolly |Brian Daly
Last week, the SEC announced settlements with 16
broker-dealers, dually registered broker-dealers and investment
advisers, and affiliated investment advisers in connection with
their failures to maintain and preserve electronic
"off-channel" communications.
This announcement reflects the latest in a wave of enforcement
actions against financial firms throughout the industry for their
employees' use of "off-channel" communications to
conduct business.
Gurbir S.
-
Feb 12, 2024 | 
lexology.com | Peter Altman |Michael Asaro |Charles Connolly |Brian Daly |Jason Daniel |Anne Evans | +7 more
Key PointsLast week, the SEC announced settlements with 16 broker-dealers, dually registered broker-dealers and investment advisers, and affiliated investment advisers in connection with their failures to maintain and preserve electronic “off-channel” communications. This announcement reflects the latest in a wave of enforcement actions against financial firms throughout the industry for their employees’ use of “off-channel” communications to conduct business. Gurbir S.
-
Jan 21, 2024 | 
qobuz.com | Charles Connolly
Charles Connolly To be released on 06/12/2024 by ConnollyTunes Main artists: Charles Connolly Genre: Pop Available in 24-Bit/44.1 kHz Stereo Unlimited Streaming Streaming available in 11 months Digital Download Purchase and download this album in a wide variety of formats depending on your needs. Your browser does not support the audio element. You are currently listening to samples.
-
Jan 17, 2024 | 
mondaq.com | Peter Altman |Michael Asaro |Jan-Paul Bruynes |Charles Connolly
In SEC v. Terraform, the court has granted summary judgment for the SEC on its
claim that the defendants offered and sold unregistered securities
in the form of "crypto assets." This comes amidst the SEC
authorizing 11 ETFs in spot Bitcoin to begin trading this
week.
