Hedge Fund AUM to reach an all-time high in 2018 for the 10th year in a row? ift.tt/2F32t6u
MiFID shake-up goes smoothly even as trading volumes dry up ift.tt/2EcW5s3
SEC Approves NYSE Delay on Release of Material After-Market News ift.tt/2CKUm0V
CFTC to Meet On Bitcoin Futures Self-Certification Issue ift.tt/2CRs2qt
Orrick's Financial Industry Week In Review ift.tt/2DyMkoE
This Week In Securities Litigation ift.tt/2DuCYKC
UBS trader fights Libor ban in High Court ift.tt/2ArdFWU
Statement of Chairman Jay Clayton and Commissioners Kara M. Stein and Michael S. Piwowar on “NASAA Reminds Investor… twitter.com/i/web/status/9…
The Future of Financial Crime and Enforcement is Cyber-Based ift.tt/2AzSthD
SEC proposes FOIA regs revamp ift.tt/2Aywg3m
SEC sees credit rating agencies improving in compliance, competition ift.tt/2CNYMEw
Getting into the Bitcoin weeds at CFTC Talks ift.tt/2lZ1z25
FINRA Provides Preview of 2018 Rulemaking Activity ift.tt/2A6XbTL
SEC Enforcement Division Announces its 2018 Priorities and 2017 Results ift.tt/2CAldvW
MiFID II – A Bird’s Eye View of the Impact on Clearing ift.tt/2m5BjUA
The #SEC will finally have a full slate of commissioners for the first time since 2015 twitter.com/ChrisRMendez/s…
Massachusetts Securities Regulator: Bitcoin Fails 'The Smell Test' ift.tt/2zHS8sH
US Regulatory Agenda: What to Expect in 2018 ift.tt/2CgbE4T
The SEC and Securities Plaintiffs' Bar Take Aim at Initial Coin Offerings ift.tt/2lksnd2
Securities Fraud Class Action Suits following Cyber Breaches: The Trickle Before the Wave ift.tt/2Eb4rBy
Who is regulating frantic trading in bitcoin? No one, it turns out on.wsj.com/2zogxUc via @davidamichaels @Rubinations
CBOE Files with SEC to List 6 Bitcoin ETFs ift.tt/2C4LTEH
The New York Stock Exchange is looking to dive into bitcoin with 2 new ETFs ift.tt/2BpQbHa
Investment Services Regulatory Update - December 2017 ift.tt/2p7cewN
Gerald Hodgkins, Associate Director of the SEC's Enforcement Division, to Leave the Agency After 20 Years of Service ift.tt/2BYxrOJ
SEC's Munchee Order Is a Recipe for Securities Law Violations ift.tt/2DsufZr
Ropes & Gray attorney to head SEC’s New York office ift.tt/2pded2x
ESMA grants stay of execution on LEIs ift.tt/2ksMiH7
SEC halts trading in crypto firm after eye-popping rise ift.tt/2kQVCDS
Derivatives Contracts Will Not Be Void Post-Brexit ift.tt/2oXxAg1
Commenters weigh in on proposed SEC disclosure requirements ift.tt/2DjMksI
Oral Downloads of Interview Memoranda to Government Regulators Waive Work Product Protection ift.tt/2oTtNjA
SEC Appoints New Members of PCAOB ift.tt/2BCGYs5
CFTC Virtual Currency Proposed Interpretation – Part 2 ift.tt/2CHvHGa
SEC Names Marc Berger Director Of NY Office ift.tt/2BC5YiX
SEC’s Regulatory Agenda Revealed ift.tt/2BiLJKw
DOL Again Delays Implementation of ERISA Fiduciary Rule ift.tt/2kIjMQZ
Cybersecurity Guidance on SEC Horizon ift.tt/2zgL0Xh
Retail Commodity Transactions Involving Virtual Currencies: An Overview of the CFTC’s Proposed Interpretation (Part… twitter.com/i/web/status/9…
How Many Times Does the SEC Have to Repeat Itself Before the World Listens? ift.tt/2Bbzpf3
CFTC Launches Virtual Currency Resource Web Page ift.tt/2AywGrB
Marc P. Berger Named Director of New York Regional Office ift.tt/2zkMJuF
CFTC Issues Proposed Interpretation on Virtual Currency “Actual Delivery” in Retail Transactions ift.tt/2ChGjLP
Regulators showing renewed interest in cracking down on investment fees ift.tt/2Cl81rK
SEC Names Kenneth A. Johnson as Chief Operating Officer ift.tt/2BlrQBH
Asset Management Regulatory Roundup - December 2017 - Issue 12 ift.tt/2kvUtkS
CFTC Seeks Public Comment on Proposed Changes to Chicago Mercantile Exchange Inc. Rules Regarding Direct Funding Pa… twitter.com/i/web/status/9…
FINRA Issues Report on Its Examination Findings ift.tt/2kt3MSG
The Securitisation Regulation - the final text ift.tt/2AGL0ST
CFTC Issues Proposed Exemptive Order to Permit ICE Clear Credit, ICE Clear US, and ICE Clear Europe to Invest Custo… twitter.com/i/web/status/9…
Fund Registration and Prospectuses, Trust Filings, Financial Reporting, 15(c) Process Contract Process, 38a-1 Compliance Programs, Proxy Solicitations, Fund Mergers and Re-organizations
204(6)-7 Compliance Programs, 204A-1 Code of Ethics, Investment Restriction Monitoring, Best Execution, Section 28(e) Soft Dollar Compliance, Books and Records Requirements
FINCen Reporting, AML Compliance Programs, Suspicious Activity Monitoring and Reporting, Counterparty Due Diligence, OFAC Screening, 314(a) Information Sharing Requests
Regulatory Exams, Advertising Review, Written Supervisory Procedures, Trade Reporting
Commodity Pool Operator Registration, CFTC Rules 4.21 and 4.22 Disclosures, Pool Quarterly Reports,
DOL Fiduciary Rule, Prohibited Transactions
Securities Laws
Regulatory Agencies
OPINIONS
INSIGHT
Compliance break downs when the purpose behind controls is not clearly communicated. How information is disseminated within your organization is key.
Adam R. Waldstein - www.waldsteinlaw.com
Businesses need to implement flexible procedures that are adaptable and scale easily as regulations change and your business grows.
Adam R. Waldstein - www.waldsteinlaw.com