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Services Provided by Our Attorneys

- ICO AND CRYPTOCURRENCY SERVICES

- CAPITAL MARKETS & FOREIGN EXCHANGE
  - - FORMATION AND REGISTRATION
  - - REGULATORY COMPLIANCE
  - - ENFORCEMENT DEFENSE
  - - FOREIGN EXCHANGE TRANSACTIONS
  - - MONEY SERVICES BUSINESSES
  - ISDA MASTER AGREEMENT
  - CFTC & NFA CYBER SECURITY POLICIES

- DEBT RELIEF SERVICES INDUSTRY COMPLIANCE

- CORPORATE GOVERNANCE
- COMPLIANCE AND ADVISORY

- DODD-FRANK ACT
  - - SWAP EXECUTION FACILITIES (SEFS)
  - - SWAP DEALERS (SDS) AND MAJOR SWAP PARTICIPANTS (MSPS)
  - SWAP DATA REPOSITORIES (SDRS)

Finance Industry

FIA Launches Podcast to Feature the Issues, People and Trends of the Global Futures, Options and...
on May 9, 2019 at 6:01 am
FIA Speaks features CFTC Chairman Giancarlo as the guest for Episode #1; New Episodes Coming Soon Washington, DC – FIA today launched FIA Speaks—a podcast to provide... London, U.K. —FIA President and CEO Walt Lukken today named Bruce Savage as the new Head of Europe. Savage, who will join FIA this summer, has spent 21 years with Deutsche Bank in a variety of...Washington, DC—FIA President and CEO Walt Lukken today issued the following statement on the passing of Senator Richard Lugar: “It’s difficult for me to articulate the influential impact...Washington, D.C. – FIA President and CEO Walt Lukken today issued the following statement on the passing of former CFTC Commissioner Bart Chilton: “Our industry mourns the unexpected...ISDA and FIA have responded to the European Commission’s feedback consultation regarding the draft equivalence decisions for financial benchmarks in Singapore and Australia under the European...From February 13-15, 2019, FIA and the SIFMA Asset Management Group hosted their annual forum, which brings together market participants from all sides of a trade to examine the latest...On 5 April, FIA co-signed a letter to HM Treasury and FCA regarding the equivalence of EEA trading venues. Signing the letter alongside FIA were ISDA (International Swaps and Derivatives... (Feed generated with FetchRSS) […]
Basel Committee reports on Basel III implementation progress
on May 7, 2019 at 9:00 am
Press Release - Basel Committee reports on Basel III implementation progress, 7 May 2019. Release of the "Sixteenth progress report on adoption of the Basel regulatory framework". […]
Basel Committee issues a consolidated version of its standards
on April 9, 2019 at 9:00 am
Press release about Basel Committee issuing a consolidated version of its standards (9 April 2019) […]
Social Sentiment Investing Tools—Think Twice Before Trading Based on Social Media
on April 3, 2019 at 4:00 am
FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this Investor Alert to inform investors about social sentiment investing tools and highlight their risks. This Alert provides tips to consider before using tools that analyze or aggregate information from social media sources to make investment decisions or attempt to predict changes in the stock market’s direction or in the price of a security. […]
2019 Triennial Central Bank Survey of Foreign Exchange and OTC Derivatives Markets
on March 29, 2019 at 7:30 am
Press release about "2019 Triennial Central Bank Survey of Foreign Exchange and OTC Derivatives Markets" (29 March 2019) […]
Basel Committee publishes follow-up reports on Basel III implementation assessments
on March 25, 2019 at 10:00 am
Press release about Basel Committee publishing follow-up reports on Basel III implementation assessments (25 March 2019) […]
Carolyn Rogers appointed as the next Secretary General of the Basel Committee
on March 22, 2019 at 1:00 pm
Press Release - Carolyn Rogers appointed as the next Secretary General of the Basel Committee, 22 March 2019. […]
Basel III monitoring results published by the Basel Committee
on March 20, 2019 at 10:00 am
Press Release - Basel III monitoring results published by the Basel Committee, 20 March 2019. […]
Broker Imposter Scams: Remember To Ask And Check
on March 18, 2019 at 4:00 am
FINRA is aware of a recent scheme that involved an unregistered individual impersonating a registered investment professional to lure in potential investors. This scammer created a fake version of a public FINRA BrokerCheck® report of a legitimate broker—picking an experienced broker with a spotless regulatory record. […]
Jurisdictions move forward towards implementing standards for payment, clearing and settlement
on March 14, 2019 at 2:00 pm
CPMI Press release "Jurisdictions move forward towards implementing standards for payment, clearing and settlement", 14 March 2019 […]
Proposed Amendments to NFA Compliance Rule 2-9 to Incorporate Supervision Requirements into Certain...
on March 11, 2019 at 8:28 pm
(Feed generated with FetchRSS) […]
Pablo Hernández de Cos appointed as Chairman of Basel Committee on Banking Supervision
on March 7, 2019 at 12:55 pm
Press release about Pablo Hernández de Cos appointed as Chairman of Basel Committee on Banking Supervision […]
Basel Committee assesses Brazil's implementation of the NSFR regulation and the large exposures framework
on March 7, 2019 at 9:00 am
Press release about Basel Committee assessing Brazil's implementation of the NSFR regulation and the large exposures framework, 7 March 2019. […]
Markets retreat and rebound: BIS Quarterly Review
on March 5, 2019 at 5:00 pm
BIS Press Release - The March 2019 issue of the BIS Quarterly Review - Markets retreat and rebound […]
BCBS/IOSCO statement on the final implementation phases of the Margin requirements for non-centrally cleared derivatives
on March 5, 2019 at 9:00 am
Press release about BCBS/IOSCO statement on the final implementation phases of the Margin requirements for non-centrally cleared derivatives, 5 March 2019. […]
Beware of Fake Check Scams
on March 4, 2019 at 5:00 am
Fake checks purported to be issued by FINRA appear to be back in circulation in 2019. The checks are counterfeit. Our updated Alert warns the public about job-search scams in which people who respond to ads or online job postings receive checks that appear to be from legitimate companies—including FINRA. […]
Basel Committee discusses policy and supervisory initiatives and approves implementation reports
on February 28, 2019 at 4:00 pm
Press release about Basel Committee discussing policy and supervisory initiatives and approves implementation reports, 28 February 2019. […]
High-Yield CD Offers Can Be Bait for High-Commission Investments
on February 21, 2019 at 5:00 am
We are reissuing this alert because, as interest rates have increased in recent months, so have calls to FINRA from investors concerned that promotions for higher-than-average CD rates are in fact pitches for high-commission investment products. […]
CPMI-IOSCO assessment concludes that Switzerland has generally implemented the PFMI
on January 30, 2019 at 2:00 pm
Press release "CPMI-IOSCO assessment concludes that Switzerland has generally implemented the PFMI", 30 January 2019. […]
Committee on the Global Financial System report outlines ways to boost domestic capital markets
on January 23, 2019 at 8:00 am
The Committee on the Global Financial System is issuing a report on "Establishing viable capital markets", 23 January 2019. […]