GRIP1 min read
Julie DiMauro26 min listen
GRIP1 min read
The CFTC issued a customer advisory alerting messaging app users to beware of schemes to defraud them of assets, especially crypto assets.
Julie DiMauro2 min read
Widespread enhancements in AI, and growing sophistication of open source AI tools, are increasingly being used by fraudsters for illicit purposes.
Eversheds Sutherland3 min read
The company was found engaging in repeated conduct of “abusive, and invasive practices” against users in Nigeria.
Martina Lindberg2 min read
Suit follows refusal by the SEC to disclose its enforcement records in response to a FOIA request.
Julie DiMauro3 min read
Three of Wall Street’s biggest PE firms are negotiating settlements with the SEC over their employees’ use of banned communication channels.
Julie DiMauro2 min read
The SEC brought 784 enforcement actions last year, enforcement director Grewal says the off-channel comms ones go to the heart of his agency’s ability to perform its overseer role.
Julie DiMauro5 min read
Reuters’ sources say the SEC has collected thousands of staff messages from major investment firms.
Julie DiMauro3 min read
Practical advice on how to approach complying with recordkeeping requirements and federal securities laws.
Ji Kim | SEC33 min read