Tag Archives: Securities

Not All ICOs are Securities Offerings

William Hinman, Director for the Division of Corporation Finance of the U.S. Securities and Exchange Commission (the “SEC”), delivered a speech on June 14, 2018, that is helpful in defining the U.S. regulatory framework surrounding digital assets. For promoters, investors, … Continue reading

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New York Court of Appeals Rules that Civil Securities Fraud Claims Brought Under Martin Act are Subject to Three-Year Statute of Limitations

In People v. Credit Suisse Securities (USA) LLC, No. 40, 2018 WL 2899299 (N.Y. June 12, 2018), the Court of Appeals for the State of New York ruled that the three-year statute of limitations of Section 214(2) of the New … Continue reading

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FATF Draft Guidance for life insurance and securities sectors on risk-based approaches to AML and CTF begins consultation

  The Financial Action Task Force (FATF) has published two sets of draft guidance for public consultation: The Draft Risk-based approach Guidance for the Life Insurance Sector is aimed at insurers and intermediaries providing life insurance and other investment-related insurance … Continue reading

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Did National Securities Recommend Restoration Robotics?

Silver Law Group is investigating claims involving National Securities’ sale of Restoration Robotics to investors through its IPO and in Reg D or private placement offerings. If you invested in Restoration Robotics common stock or in a private placement and … Continue reading

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ISS Releases List of Top 25 Canadian Securities Class Action Settlements

Readers undoubtedly are familiar with ISS Securities Class Action Services’ annual report on the Top 100 Securities Class Action Settlements, focusing on the largest U.S. securities lawsuit settlements. The most recent Top 100 report is discussed here. ISS Securities Class … Continue reading

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