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SEC Issues Risk Alert Related to Security Based Swap Dealers

SEC Issues Risk Alert Related to Security Based Swap Dealers
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Daily Financial Regulation Update -- Thursday, January 11 2024 | Paul Hastings LLP

January 10, 2024- The U.S. House Committee on Financial Services Subcommittee on Digital Assets, Financial Technology and Inclusion held a hearing entitled, "Regulatory. ....

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SEC Adopts Two New Rules to Combat Fraud

The SEC adopted two new rules on June 7 aimed at preventing fraud and manipulation specific to security-based swap transactions and the entities that trade them, including a unique rule preventing undue influence over chief compliance officers. ....

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Statement Of CFTC Commissioner Kristin N. Johnson In Support Of The CFTC Complaint Alleging Binance, Affiliated Entities, And Senior Management Violated The Commodity Exchange Act And Evaded U.S. Regulation

<p><span>Today, the Commodity Futures Trading Commission (Commission or CFTC) filed a civil enforcement action in the U.S. District Court for the Northern District of Illinois against Binance Holdings Limited, Binance Holdings (“IE”) Limited, Binance (“Services”) Holdings Limited (collectively, “Binance”), and Binance’s CEO, Changpeng Zhao (“Zhao”or “CZ”), and former Chief Compliance Officer, Samuel Lim (“Lim”).</span><span>  </span><span>As the CFTC complaint alleges, Zhao with the assistance of Chief Compliance Officer Lim, orchestrated a strategy directing the Binance enterprise to engage in numerous violations of the Commodity Exchange Act (CEA) and the CFTC regulations, ultimately operating the enterprise through a complex web of firms with the goal of using this operational infrastructure to shield ....

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SEC Division of Examinations' 2023 Exam Priorities – A Continued Focus on Private Funds, Regulation Best Interest, ESG, and Crypto | Morrison & Foerster LLP

On February 7, 2023, the Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMs) announced its 2023 Examination Priorities (the “Priorities”), which highlight areas. ....

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