Speaker, Annual Blockchain and Crypto Currency Investor Conference, September 26, 2018, New York, NY
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- Sep 29
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Participant on SEC regulatory panel, Blockchain and Regulation: Peter D. Hatzipetros, President, and Founder of Petros Law Group, Scott Andersen, Scott Andersen is principal at Andersen, P.C., finLawyer.com| George S. Georgiades, General Counsel at Prime Trust | Gary Ross, Co-Founder of Ross & Shulga PLLC | Chi-Ru Jou, Partner at CKR Law | Max Dilendorf, Managing partner
Read MoreFinLaw: Helicopter Regulators and the Right to Choose Your Own Investments
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- Sep 29
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Compliments to Hester Pierce, who is asking the right questions and stated the following at a recent speech: “It puzzles me that it is so difficult for those of us who regulate the securities markets to understand this concept; after all, capital markets are all about taking risk, and queasiness around risk-taking is particularly inapt.
Read MoreFinLaw: Broker-Dealer and Investment Adviser inadequate cyber security procedure and control cases will be SEC and FINRA priority for many years to come
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- Sep 29
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A new SEC enforcement case a against dully registered broker-dealer and investment adviser for deficient cyber security procedures under Reg S-P and Reg S-ID resulting in sanctions and a $1 million civil money penalty. Expect to see many, many more, and similar FINRA cases coming soon. https://www.sec.gov/litigation/admin/2018/34-84288.pdf
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