Tag: compliance

The Commission filed its first insider trading case based on crypto assets last week. The case centered on trading in advance of announcement by a crypto trading platform of the listing of a new asset. SEC Chair Gensler and Enforcement …

This Week In Securities Litigation (Week of July 25, 2022) Read More »

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Compliance is a critical function for all enterprises. Adopting appropriate standards and ensuring that they are properly implemented is key to the proper functioning of the firm. The adoption of the proper standards helps guide the company in the marketplace, …

The Need for Effective Compliance Read More »

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