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UBS settles SEC case involving ETPs for $8 1M | Financial Planning

UBS settles SEC case involving ETPs for $8 1M | Financial Planning
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

Daniel michaelOffice of compliance inspectionsEnforcement division complex financial instruments unitFinancial servicesDivision of enforcementTerm futuresEnforcement divisionComplex financial instruments unitErica chaseCompliance inspectionsBest interestடேனியல் மைக்கேல்அலுவலகம் ஆஃப் இணக்கம் ஆய்வுகள்அமலாக்கம் பிரிவு சிக்கலான நிதி கருவிகள் அலகுநிதி சேவைகள்பிரிவு ஆஃப் அமலாக்கம்

SEC intensifies scrutiny of crypto

REGISTER NOW The Securities and Exchange Commission is ramping up enforcement against cryptocurrency providers, as the Internal Revenue Service has also stepped up investigations and compliance efforts. On Wednesday, the SEC announced that it had settled charges with a U.K.-based company, Blotics, that used to operate Coinschedule.com, a once-popular website that profiled offerings of digital asset securities. The SEC found the company violated the anti-touting provisions of U.S. securities laws by failing to disclose the compensation it received from issuers of the digital asset securities it profiled. The move comes as the IRS has also stepped up its compliance efforts, adding a question at the top of the Form 1040 asking taxpayers to disclose whether they received, sold, sent, exchanged, or otherwise acquired any financial interest in virtual currency in 2020. The IRS has also received court authorization to send so-called “John Doe summons” to widely used cryptocurrency ex

New jerseyUnited statesAndrew harrer bloombergGary genslerKen josephJohn doeJay claytonExchange commissionRevenue serviceCommodity futures trading commissionSupreme courtOffice of compliance inspectionsDivision of enforcementWj howey coInternal revenue serviceCompliance inspections

SEC examinations head Peter Driscoll to depart

Peter Driscoll Daniel Kahl will lead the division as acting director upon Driscoll’s exit. Driscoll, a 2017 Compliance Week Top Minds honoree, has been with the SEC since 2001. In 2017, he took over as head of the then-Office of Compliance Inspections and Examinations (OCIE), where he was a vocal supporter of empowering the chief compliance officer at the organization level. The OCIE was renamed the Division of Examinations in December, and Driscoll stayed on as its leader. Driscoll also previously served as the division’s first chief risk and strategy officer. “It has been a great honor and the highlight of my career to have led the Office of Compliance Inspections and Examinations and serve as the first-ever Director of the Division of Examinations,” said Driscoll in a press release. “I am incredibly humbled to have had the opportunity to work alongside the talented staff of the Division in our mission to protect investors and maintain fair, orderly, and efficient mar

Gary genslerDaniel kahlOffice of compliance inspectionsDivision of examinationsWeek top mindsCompliance inspectionsடேனியல் கால்அலுவலகம் ஆஃப் இணக்கம் ஆய்வுகள்பிரிவு ஆஃப் தேர்வுகள்இணக்கம் ஆய்வுகள்

Kahl to become acting examinations chief at SEC

Kahl to become acting examinations chief at SEC
investmentnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from investmentnews.com Daily Mail and Mail on Sunday newspapers.

United statesDaniel kahlPeterb driscollExchange commissionFinancial industry regulatory authority incOffice of compliance inspectionsInvestment adviser associationAmerican securities administrators associationCompliance inspectionsNorth american securities administratorsஒன்றுபட்டது மாநிலங்களில்டேனியல் கால்பரிமாற்றம் தரகுநிதி தொழில் ஒழுங்குமுறை அதிகாரம் இன்க்அலுவலகம் ஆஃப் இணக்கம் ஆய்வுகள்இணக்கம் ஆய்வுகள்

SEC Examinations director to leave; acting head named

SEC Examinations director to leave; acting head named
pionline.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from pionline.com Daily Mail and Mail on Sunday newspapers.

Gary genslerPeterb driscollDaniels kahlOffice of compliance inspectionsExchange commission examinationsExchange commissionDirector peterCompliance inspectionsஅலுவலகம் ஆஃப் இணக்கம் ஆய்வுகள்பரிமாற்றம் தரகுஇயக்குனர் பீட்டர்இணக்கம் ஆய்வுகள்