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CFTC, SEC New Guidance on Fraud in OTC Swaps

Commodity Futures Trading Commission CFTC Commissioner Caroline D. Pham issued a concurring statement CFTC’s amended complaint in U.S. District Court for the Southern District of New York against Archegos Capital Management, LP Archegos and certain related individuals.

New yorkUnited statesCarolined phamCommodity futures trading commissionExchange commissionCommodity exchange actUs district courtCommissioner carolineSouthern districtArchegos capital managementDodd frank wall street reformConsumer protection actProducts definitionsCommissioner phamSecurities and exchange commissionCommodity futures trading commission

CFTC and SEC Issue Guidance on Security-Based Swaps and Fraud in OTC Swap Disclosures | Cadwalader, Wickersham & Taft LLP

On October 21, Commodity Futures Trading Commission (“CFTC”) Commissioner Caroline D. Pham issued a concurring statement to the CFTC’s amended complaint originally filed on April 27,.

New yorkUnited statesCarolined phamCommodity futures trading commissionExchange commissionWickersham taftCommodity exchange actUs district courtCommissioner carolineSouthern districtArchegos capital managementDodd frank wall street reformConsumer protection actProducts definitionsCommissioner pham

SEC wants to make advisors responsible for third-party subcontractors fiduciary compliance

An industry group contends that the commission is overestimating RIAs' control over outsourced services.

William birdthistlePeter druckerKaren barrMark uyedaGary genslerCaroline crenshawJaime lizarragaExchange commissionInvestment adviser associationDivision of investment managementInvestment advisers actCommissioner carolineNew york mellonInvestment managementChester piercePolitics and policy

Latest Ripple Development Highlights SEC s Crypto Approach - Fin Tech

The U.S. Securities and Exchange Commission has shown continued commitment to regulating digital assets through enforcement actions.

Carolined phamGary genslerHesterm peirceHester peirceCoinbase global incDivision of corporationHowey coSec us district courtRipple labs incCommodity futures trading commissionExchange commissionUs supreme courtBlockfi lendingSouthern districtRipple labsCoinbase global

Coinbase Finances Lawsuit against US Treasury over Tornado Cash Sanctions | Montague Law

In the latest news on crypto-lawsuits, the largest United States-based cryptocurrency exchange, Coinbase, announced last week that the company is funding a lawsuit against the US.

United statesPaul grewalCarolined phamJosiah makoriBriane nelsonBrian armstrongSam suttonNathaniel whittemoreDepartment of justiceUs treasury departmentSecurities exchange commissionUs department of the treasuryCommodities future trading commissionInternational emergency economic powers actTreasury departmentCommodity futures trading commission

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