US SEC Sanctions LPL Financial with $18 Million Fine for AML Violations

by Theresa Joy Lacatan | Jan 21, 2025 | Blog News, Crypto News

On 17 January 2025, the United States Securities and Exchange Commission (US SEC) published an order instituting administrative and cease-and-desist proceedings, pursuant to Sections 15(b) and 21c of the United States Securities Exchange Act of 1934 and Section 203(e)...

US SEC Announces Departure of International Affairs Director YJ Fischer

by Theresa Joy Lacatan | Jan 20, 2025 | Blog News, Crypto News

On 16 January 2025, the United States Securities and Exchange Commission (US SEC) announced the departure of YJ Fischer, Director of the Office of International Affairs (OIA). YJ Fischer, who has led the OIA since August 2021, will leave her position on 20 January...

US SEC Charges Two Sigma with Failing to Address Model Vulnerabilities, Imposes $90 Million Penalty

by Theresa Joy Lacatan | Jan 20, 2025 | Blog News, Crypto News

On 16 January 2025, the United States Securities and Exchange Commission (US SEC) announced order instituting administrative and cease-and-desist proceedings, pursuant to section 21c of the United States Securities Exchange Act of 1934 and sections 203(e) and 203(k)...

Gary Gensler Reflects on His Tenure in Final SEC “Office Hours”

by Theresa Joy Lacatan | Jan 17, 2025 | Blog News, Crypto News

On 16 January 2025, Gary Gensler, Chair of the United States Securities and Exchange Commission (US SEC), released the final episode of his Office Hours series. In this candid video, Gary Gensler discussed the importance of the US capital markets, the US SEC’s role in...

US SEC Chief Economist Jessica A.Wachter to Depart, Returning to Academia

by Theresa Joy Lacatan | Jan 16, 2025 | Blog News, Crypto News

On 15 January 2025, the United States Securities and Exchange Commission (US SEC) announced the upcoming departure of Jessica A. Wachter, Chief Economist and Director of the Division of Economic and Risk Analysis (DERA). Jessica A. Wachter, who has led the division...