Chief compliance officers (CCOs) play a critical role in helping broker-dealers avoid regulatory oversights and promote the overall integrity of the market. However, CCOs are obviously not the only parties who could be on the hook for regulatory violations at a...
An independent auditor must remain free from conflicts of interest that could give the auditor a personal stake in the company they are auditing. This concept is at the heart of a probe being conducted by investigators from the Securities and Exchange Commission...
Broker-dealers and employees of publicly traded companies must be careful about how they communicate regarding securities trades. Under SEC Books and Records Rules, people in such positions are required to preserve comprehensive records regarding the purchase and sale...
Multinational generic pharmaceutical giant Teva reached a $420 million settlement with shareholders who claimed the company hid a price-fixing scheme and artificially inflated share prices. According to the suit, filed in federal court in Connecticut, the price-fixing...
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Anyone who holds a large position in a securities-based swap should be aware of new rules proposed by the Securities and Exchange Commission (SEC). The proposed rules aim to prevent fraudulent, manipulative and deceptive activity with regard to securities-based swaps....
Kevin J. O’Brien takes a deep dive into the Elizabeth Holmes trial, critiquing both the prosecution and defense with The Voice of Compliance, Tom Fox. Listen to the Podcast
For years now, legislative inaction has given rise to jurisdictional ambiguities in the regulation of cryptocurrencies and decentralized finance (DeFi). Multiple regulatory agencies — most notably the U.S. Securities and Exchange Commission (SEC) and U.S. Commodity...
Kevin O'Brien, Adam Ford, Robert Landy and Matthew Aaron Ford have all been selected as 2021 New York Metro Super Lawyers! Selections are based upon "peer recognition and professional achievement" and include only a small percentage of the lawyers in the state. We are...
A cryptocurrency investor in Arizona has alleged that digital asset ranking site CoinMarketCap.com unfairly suppressed the ranking of a token that competes directly with the digital currency issued by CoinMarketCap's corporate owner, Binance Capital Management....
