By
Jaclyn Jaeger2019-10-02T18:09:00
Block.one has agreed to settle charges with the SEC and pay a $24 million civil penalty for conducting an unregistered initial coin offering of digital tokens that raised the equivalent of several billion dollars.
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2017-12-05T07:00:00Z By Tammy Whitehouse
Companies can expect no new guidance from the SEC anytime soon on digital currencies, but they can expect its enforcement arm to act if it sees indications of fraud.
2017-07-26T16:00:00Z By Jaclyn Jaeger
The Securities and Exchange Commission issued an investigative report this week cautioning market participants that offers and sales of digital assets by “virtual” organizations are subject to the requirements of the federal securities laws.
2025-12-19T20:33:00Z By Aaron Nicodemus
Greg Ruppert, Chief Regulatory Operations Officer at the Financial Industry Regulatory Authority (FINRA), recently shared insights with Compliance Week regarding the self-regulatory organization’s use of Artificial Intelligence in monitoring trends in the market, spotting threats, and keeping its members informed.
2025-12-18T18:28:00Z By Adrianne Appel
The Federal Trade Commission allegations against Uber, alleging deceptive billing and subscription cancellations, have snowballed, with 21 states and the District of Columbia joining the lawsuit.
2025-12-17T20:09:00Z By Adrianne Appel
The 2025 year has been so rich with compliance stinkers, and rife with poor judgment, compliance missteps, outright malfeasance and greed, greed, greed, that it was almost impossible to choose just six epic compliance failures from this year’s massive poop pile.
2025-12-11T21:18:00Z By Ruth Prickett
Global organised crime is booming, and only 1 to 2 percent of the $4 trillion black economy is intercepted, according to figures from the Financial Action Task Force. Its new guidance suggests that countries should focus on rapid investigations, collaborative intelligence gathering, and confiscating the proceeds of criminal activity.
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