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UBS Pays $25M To Settle Charges Involving Yield Enhancement Strategy

UBS will pay $25M to settle SEC charges that the firm sold a yield enhancement strategy to 600 investors without adequately training advisors.

Osman nawazExchange commissionEnforcement division complex financial instruments unitCredit suisseFinancial industry regulatory authorityYield enhancement strategyEnforcement divisionComplex financial instruments unitRelevant period

Avoiding Sticky Situations with Web3: DOJ, SEC Scrutiny of NFT and DeFi Projects Expected to Continue | Holland & Knight LLP

Web3 is a term with a shifting, amorphous definition. In its current form, Web3 encompasses both decentralized platforms and the metaverse. Decentralized platforms offer services and.

Andre llacunaHester peirceEthan nguyenDaniel michaelRevenue serviceEnforcement division complex financial instruments unitBlockchain technologyDivision of enforcementApe yacht clubFederal bureau of investigationDivision of enforcement cyber unitUs supreme courtBureau of investigationNational cryptocurrency enforcement teamErnst youngUs department of homeland security

Nicole Creola Kelly named chief of SEC s Office of the Whistleblower | Article

Nicole Creola Kelly named chief of SEC s Office of the Whistleblower | Article
complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.

Mary jo whiteGurbirs grewalKaram steinJane norbergEmily pasquinelliAmherst collegeOffice of the whistleblowerEnforcement division complex financial instruments unitWhistleblower officeArnold porterTulane law schoolGeneral counselEnforcement divisionComplex financial instruments unitTulane law

Nicole Creola Kelly Named Chief Of SEC Whistleblower Office

<p><span>The Securities and Exchange Commission today announced the appointment of Nicole Creola Kelly as Chief of the SEC’s Office of the Whistleblower.</span></p>

Mary jo whiteNicole creola kellyGurbirs grewalKaram steinEmily pasquinelliAmherst collegeExchange commissionOffice of the whistleblowerEnforcement division complex financial instruments unitWhistleblower officeTulane law schoolSenior special counselGeneral counselEnforcement divisionComplex financial instruments unitActing chief

SEC fines Prosper for overstating annual returns over two years – Bankless Times

SEC fines Prosper for overstating annual returns over two years – Bankless Times
banklesstimes.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from banklesstimes.com Daily Mail and Mail on Sunday newspapers.

Daniel michaelExchange commissionEnforcement division complex financial instruments unitProsper fundingComplex financial instrumentsSecurities act