Issues

SEC 2018 examination priorities

Janet M. Angstadt; David Dickstein; Mark Goldstein; Richard Marshall
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2017-2018 SEC whistleblowing review: insights and trends

Deborah Meshulam; Louis Ramos; Benjamin Klein
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SEC’s Division of Investment Management voices concerns over registered funds investing in cryptocurrencies and cryptocurrency-related products

Vadim Avdeychik; Justin Capozzi
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Five crypto-securities trends that spell more lawsuits in 2018

William K. Pao; Eric Sibbitt; Taylor R. Evenson; Andrew J. Weisberg
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SEC Enforcement: Self-Reporting Share Class Selection Disclosure Initiative

Elaine Greenberg
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FINRA’s disciplinary actions in 2017: increased restitution ordered with minimal changes in number of cases

Brian Rubin; Adam Pollet
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UK FCA adopts changes to rules governing availability of information for IPOs

Mark S. Bergman; John J. Satory; Sofia D. Martos
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AML and politically exposed persons: “good practice” recommendations from the Bank of Italy for policies and procedures to be implemented

Francesco Falco
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Insider dealer or unknowing participant: HK court of appeal confirms SFC’s broad powers to pursue insider dealing and fraud offences

Gareth Hughes; James Comber; Emily Austin
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Is your anti-money laundering program ready for FinCEN’s Customer Due Diligence Rule?

Rick Kuhlman; Jeff Ziesman; Carolyn Browne; Jason Kempf
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