Welcome to the Great Women in Compliance Podcast, hosted by Mary Shirley and Lisa Fine. The Great Women in Compliance podcast has covered speaking up from many angles over the last.
On February 3, 2023, the US Securities and Exchange Commission (SEC or Commission) announced that video game developer Activision Blizzard, Inc. (Activision) agreed to pay $35 million.
The so-called "crypto winter" that started this past summer and has continued with vigor—most recently with the bankruptcy of FTX—has potential to have widespread impact in the financial services.
When taken as a whole, the agency's enforcement and regulatory activity during the quarter demonstrates that the Commission is continuing to remain vigorous in its efforts to protect investors.