US: Investment Advisers and the rise of Cryptocurrency litigation
goo.gl/kbkyP7 www.nelsonmullins.com/idea_exchange/blogs/investigations/criminal/the-rise-of-the-private-cryptocurrency-plaintiff 0
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Home » Posts taggedRegulatory (Page 225)
US: Banking Regulators’ examination may not override Attorney-Client Privilege
Click to access seven_law_firm_acp_memo.pdf See also: www.wilmerhale.com/insights/client-alerts/20230126-update-supreme-court-dismisses-privilege-case-after-hearing-arguments riskandcompliance.freshfields.com/post/102ieuh/mind-your-privilege-recent-developments-in-the-law-of-privilege 0
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UK: Barclay’s CEO Jes Staley fined $870,000 for trying to unmask an anonymous whistleblower
uk.businessinsider.com/barclays-ceo-jes-staley-fined-in-whistleblower-scandal-2018-5 www.minterellison.com/articles/first-case-brought www.fca.org.uk/news/press-releases/fca-and-pra-jointly-fine-mr-james-staley-announce-special-requirements www.bankofengland.co.uk/news/2018/may/fca-and-pra-jointly-fine-mr-james-staley-and-announce-special-requirements-at-barclays See also: FAR Implications: FCA Fines and Bans Barclays CEO | Gilbert + Tobin Lawyers: Law Firm in Sydney, Melbourne & Perth (gtlaw.com.au) www.mishcon.com/news/examining-the-fcas-decision-notice-against-james-staley 0
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US: Launch of SEC Action Lookup for Individuals
goo.gl/RkuFmn www.piblaw.com/pib-law-blog/sec-launches-new-search-tool-SALI goo.gl/MCFTzf www.sec.gov/litigations/sec-action-look-up 0
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US: FinCEN recognizes importance of BSA reporting for law enforcement agencies
buckleysandler.com/blog/2018-05-10/fincen-recognizes-law-enforcement-agencies-use-bsa-reporting www.fincen.gov/news/news-releases/fincen-directors-law-enforcement-awards-program-recognizes-significance-bsa See also: goo.gl/yndL6f 0
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India: Changes in framework of Foreign portfolio investment in debt securities
Click to access Khaitan%20&%20Co-Ergo-Update-7May2018.pdf 0
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US: SEC on Broker-Dealer and Investment Adviser Standards
www.cadwalader.com/resources/clients-friends-memos/choose-one-best-interest-or-full-service www.findknowdo.com/news/04/18/2018/sec-proposes-retail-best-interest-standard-broker-dealers-fiduciary-interpretation goo.gl/16F7Vp www.shearman.com/perspectives/2018/04/sec-proposes-broker-dealer-standard-of-care-and-guidance www.sec.gov/news/speech/speech-clayton-2018-05-02 www.sec.gov/news/press-release/2018-68 0
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Canada: TSX Venture Exchange publishes “Bulletin, Blockchain And Cryptocurrency”
www.mindengross.com/resources/news-events/2018/04/06/tsx-venture-exchange-publishes-bulletin-blockchain-and-cryptocurrency gowlingwlg.com/en/insights-resources/on-demand-webinars/2021/crypto-trading-platforms-legal-developments/#page=1 0
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US: FinCEN indicates Cryptocurrencies subject to Money Transmitter rules
goo.gl/XfqKTU www.mme.ch/en/magazine/magazine-detail/url_magazine/crypto_currencies_tokens_smart_contracts_and_sanctions/ goo.gl/iVA6jF See also: goo.gl/wpWsXA goo.gl/aFj8Mo goo.gl/WkFQ9H Cryptocurrency: the risks of not applying the AML and KYC requirements 0
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India: Reserve Bank restricts Cryptocurrency
goo.gl/o7ubjg Update: goo.gl/KvksCJ blockchain.bakermckenzie.com/2021/02/01/india-may-ban-cryptocurrency-again/#page=1 Amendment to Schedule III of the Companies Act – Whether a step towards recognition and regulation of virtual currencies / cryptocurrencies in India? Note on the Cryptocurrency and Regulation of Official Digital Currency Bill, 2021 India’s Own Crypto Asset Regulations Soon: Plugging an Important...
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