Seminar November 13, 2023
9:00 a.m. – 12:45 p.m. ET

Register here.

Financial services firms’ corporate compliance programs continue to be under intense regulatory scrutiny and face immense challenges brought upon by the FinTech revolution. Many of the financial service regulators have been looking at these developments with a keen interest. The regulatory landscape

Non-fungible token (“NFT”) issuers and the NFT market will want to take note of the US Securities and Exchange Commission’s (“SEC”) statement this week that NFTs issued by Impact Theory, LLC were “securities” under US federal securities law and the sale of those NFTs without registration or reliance on an exemption from the registration requirements

Just weeks after the novel securities analysis in SEC v. Ripple Labs was handed down, a different court in the Southern District of New York has distinguished the approach taken in Ripple and argued against its policy outcomes in another, high-profile enforcement action by the SEC involving digital assets. In this Legal Update, we examine

In a closely-watched ruling, on July 13, 2023, a US federal court granted summary judgment and made several key determinations on the question of whether digital tokens are “securities” for US securities law purposes. While the Court’s decision provides a number of meaningful rulings, it leaves many questions unanswered and will not be the final

February 14, 2023 Webinar

1:00 pm – 2:00 pm ET

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Financial market participants increasingly rely on technological tools such as predictive data analytics, artificial intelligence (AI)/machine learning (ML), differential marketing and game-like features to provide financial services to customers. These tools, also referred to as Digital Engagement Practices (DEPs), are common features

On December 15, 2022, the New York Department of Financial Services (“NYDFS”) issued guidance clarifying that all New York banking organizations are required to obtain prior agency approval for virtual currency-related activity (“2022 Guidance”). The 2022 Guidance is similar to prior notice guidance issued by the federal banking regulators but establishes highly prescriptive information requirements

Last week, the Staff of the Division of Corporation Finance of the Securities and Exchange Commission posted a sample comment letter (see the sample letter) in order to provide guidance to reporting companies regarding the types of disclosures that reporting companies should consider to the extent that a filer has been impacted by a

On October 4, 2022, the US Financial Stability Oversight Council (FSOC) released its Report on Digital Asset Financial Stability Risks and Regulation (FSOC Report).  Weighing in at over 120 pages, the FSOC Report provides a thorough discussion of the regulation of crypto-assets and their potential financial stability risks. Most importantly, the report sets forth several

On September 16, 2022, the Treasury Department issued three reports pursuant to President Joseph Biden’s March 9 Executive Order 14067 on “Ensuring Responsible Development of Digital Assets.” The issuance of the reports was followed by Treasury Under Secretary for Domestic Finance Nellie Liang giving remarks at the Brookings Institution on September 22 explaining the reports

October 27, 2022 New York

8:00am – 5:30pm ET

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Our third Artificial Intelligence & Financial Services Symposium will resume on October 27, 2022. As in 2019, we will focus on the legal, contractual and regulatory aspects of using AI to deliver financial services. Topics will include:

  • How Financial Institutions and Insurance Companies