US: SEC charges Lawyer and Accountant with Aiding and Abetting of Fraud case
www.sec.gov/litigation/litreleases/2017/lr24022.htm 0
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US: SEC charges Broker for illegal IPO kickback scheme
www.findknowdo.com/news/12/20/2017/sec-charges-broker-illegal-ipo-kickback-scheme 0
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UK: FCA Statement on Distributed Ledger Technology
www.jdsupra.com/legalnews/what-next-for-distributed-ledger-71744/ www.dlapiper.com/en/uk/insights/publications/2017/12/fca-issues-feedback-statement-on-dlt/ www.charlesrussellspeechlys.com/en/news-and-insights/insights/litigation–dispute-resolution/2018/initial-coin-offerings—an-unregulated-minefield/ Click to access fs17-04.pdf 0
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US: FinCEN Launches new information-sharing platform – the FinCEN Exchange
www.wilmerhale.com/pages/publicationsandnewsdetail.aspx?NewsPubId=17179886282 0
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South Africa: Publication of the new Fit and Proper Requirements for Financial Services
www.clydeco.com/insight/article/publication-of-the-fit-and-proper-requirements-for-financial-services-provi Click to access New_fit_and_proper_requirements_FAIS_Act_(15_Dec_2017)_gg41321_nn194.pdf 0
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US: SEC’s Regulatory agenda revealed
www.jdsupra.com/post/documentViewer.aspx?fid=7e0954fd-8574-4c4d-bcad-789fa26dc2e9 0
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US: Five Things to think about before a Surprise SEC Exam
bit.ly/2zH321U See also: bit.ly/2pMSf6B 0
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Australia: Reserve Bank on electronic Australian dollar
www.rba.gov.au/speeches/2017/sp-gov-2017-12-13.html www.cowellclarke.com.au/news/is-a-digital-aud-the-way-of-the-future www.gtlaw.com.au/insights/fintech-update-december-2017#eAUD 0
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US: SEC on Cryptocurrencies and Initial Coin Offerings
bit.ly/2BBC01d blogs.kilpatricktownsend.com/investmentmanagement/?p=408#page=1 goo.gl/dQV3Pu goo.gl/o2Do3h www.sec.gov/news/public-statement/statement-clayton-2017-12-11 goo.gl/M1C6P7 0
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US: FINRA issues report on Examination findings
www.jdsupra.com/legalnews/finra-issues-report-on-its-examination-85566/ Click to access 2017-Report-FINRA-Examination-Findings.pdf bit.ly/2Cx4Hcs 0
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