Private Funds, ESG, Crypto Among SEC’s Priorities in 2022
The regulator released its annual report identifying the greatest risks facing investors and the markets.
Regulation
Private Funds, ESG, Crypto Among SEC’s Priorities in 2022
The regulator released its annual report identifying the greatest risks facing investors and the markets.
European Pension Regulator Launches Climate Risk Stress Test for 2022
The regulator imagines what will be the effects of a climate shock to pension funds’ balance sheets.
Proposed SEC Rules Look to Shed Light on Opaque SPAC Deals
Regulator aims to protect vulnerable investors from being left holding the bag after insiders have ‘cashed out.’
Proposed SEC Rules Aim to Rein in High-Frequency Traders
Regulator says algorithmic trading requires expanding the definition of a dealer to level the playing field.
Labor Dept. Warns Fiduciaries About Offering Crypto in DC Plans
The Employee Benefits Security Administration said 401(k) fiduciaries should use ‘extreme care’ before adding crypto options to a plan.
Biden Digital Asset Executive Order Aims to Tame Crypto
White House provides guidelines that seek to harness the positive aspects of crypto while mitigating its abuse.
Crypto Companies Charged in $44 Million Ponzi Scheme
The owners of EmpowerCoin, ECoinPlus and Jet-Coin face charges of wire fraud, money laundering and obstruction of justice, among others.
Idaho Bills Aim to Curb Public ESG Investing
Legislation identifies sustainable investing as being among ‘disfavored state investments.’
SEC Proposes Cybersecurity Rule Changes for Public Firms
The regulator wants companies to better inform investors about their risks from hackers.
Former CIO Charged With Overvaluing Funds by $1 Billion
Infinity Q Capital Management’s James Velissaris allegedly pocketed nearly $27 million in ill-gotten fees
Cryptocurrency Exchange to Pay $100 Million in Fines Over Lending Platform
BlockFi settles charges that it misled investors about the level of risk involved in its interest-bearing accounts.
Founders of Crypto Exchange Plead Guilty to Violating Bank Secrecy Act
Justice Department says BitMEX was essentially a money-laundering platform.
SEC Proposes New Rules for Private Funds, Cybersecurity Risk Management
EisnerAmper’s Louis Bruno says private fund managers will need to adapt to meet the new standards.
Regulators Accuse Investment Firm of Preying on Elderly
The SEC and CFTC allege an LA firm continues to target mostly elderly or retirement-aged victims as part of a precious metals scam.