AUGUST 2023: Titan SEC Action
The SEC charged the Firm with a number of violations of the Advisers Act Titan is a Fintech Investing App that provides investment advice primarily to retail investors. The SEC charged the Firm with a number of violations of the Advisers Act. Although Titan primarily...JUNE 2023: SEC Enforcement Actions Related to Private Fund Advisors
Compliance Best Practices Based on Recent SEC Enforcement Actions Related to Private Fund Advisers Fund Audits The SEC charged a number of investment advisers that failed to comply with the Custody Rule requirements and/or to timely update their SEC disclosures to...FEBRUARY 2023: Comments on 2023 SEC Exam Priorities
2023 SEC Exam Priorities Overview Introduction It’s that time of year again, the time when registered investment advisors (“RIAs”) and broker dealers (“BDs”), jointly (“Firms”) routinely review and update their compliance programs. A component of this process...SEPTEMBER 2022: Preparing for the unknown in US digital asset regulation
Tides of Digital Asset Regulation In the past 12 months, there has been a flurry of statements, rhetoric, proposed legislation, and legal proceedings relating to digital assets in the US. Politicians, the CFTC, the SEC, and state regulators have stepped forward with...AUGUST 2022: New Crypto Bill
Legislation was introduced on August 3 to give the Commodity Futures Trading Commission (CFTC) authority to regulate digital commodities.