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SEC launches Cyber and Emerging Technologies Unit (CETU) to combat AI, Crypto, and Tech fraud, safeguarding retail investors

by Jyotsna Bucktowar | Feb 25, 2025

Led by Laura D’Allaird, the unit comprises approximately 30 fraud specialists and attorneys. CETU focuses on areas such as fraud involving emerging technologies like artificial intelligence and machine learning, misuse of digital platforms for fraudulent activities,...

SEC Acting Chairman Uyeda launches a Crypto Task force dedicated to developing a comprehensive and clear regulatory framework for crypto assets

by AdrianaAMLP | Jan 21, 2025

The Task Force’s focus will be to help the Commission draw clear regulatory lines, provide realistic paths to registration, craft sensible disclosure frameworks, and deploy enforcement resources judiciously…

SEC announces 200 enforcement actions in Q1 of FY 2025, the highest number filed in any first quarter since at least 2000

by AdrianaAMLP | Jan 17, 2025

Reports 200 enforcement actions in the first quarter of fiscal year 2025 (October-December 2024), including 118 standalone actions, marking the highest number of filings for this period since 2000. Of these, 75 were filed in October 2024 alone. The cases addressed...

SEC charges Morgan Stanley Smith Barney for failing to supervise its Financial Advisors who stole clients funds and for failing to adopt policies and procedures designed to prevent and detect such theft

by Jyotsna Bucktowar | Dec 12, 2024

To settle the charges, MSSB agreed to pay a $15 million penalty and accept certain undertakings. The primary issue was the lack of proper controls over ACH payments and wire transfers, enabling financial advisors to divert funds to themselves…...

SEC charges 3 individuals from Nigeria for operating a fraudulent online scheme, impersonating financial professionals and defrauding investors of over $2.9m

by Jyotsna Bucktowar | Dec 11, 2024

The defendants created fake websites and social media profiles to attract U.S. investors, promising high returns and manipulating investment platforms. In a parallel criminal case, the U.S. Attorney’s Office has filed charges, while the SEC also issued an investor...
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