Steven Lofchie

@Stevenlofchie

partner. Founder of the Cabinet (), online library. First-ranked in Chambers. Twice named best NY Fin Reg lawyer.

Vrijeme pridruživanja: svibanj 2014.

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  1. prije 8 sati

    This disciplinary action is notable because the relevant investors seemed to have been "accredited investors" who were eligible to participate in the private placement.

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  2. 27. sij

    Expect significant debate in the coming year over the ownership of trading data and the costs of obtaining access.

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  3. 16. sij

    The bad guys know how to conduct cyberattacks on payment systems; hopefully the issues raised by the NY Fed will focus the good guys on the risks.

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  4. proslijedio/la je Tweet
    15. sij

    The urged investors to consider certain risks before investing in initial exchange offerings of digital assets. provides analysis here.

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  5. proslijedio/la je Tweet
    3. sij

    Cadwalader Cabinet helps financial institutions keep current on evolving legal and regulatory issues regarding Cybersecurity, Data Protection, and Crypto and ICOs. To assist in navigating these requirements, check out our Topic Pages.

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  6. 2. sij

    If the open-ended authority provided is not to be eliminated, at least the government is taking steps to formalize the process so that it may be applied with an even hand.

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  7. 20. pro 2019.

    was a poorly conceived project...The products that are genuinely powerful are true "stablecoins" that are linked to the dollar or other single currencies, and generally supported by a bank account.

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  8. 19. pro 2019.

    It is difficult to see how the economics work for a to make recommendations to individual clients, get paid only a transaction commission, and be deemed to be subject to a "fiduciary standard of utmost care."

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  9. 16. pro 2019.

    In a world where every website is under potential attack from hostile nation states and from criminal organizations, why would one take the risk of gathering so much financial information in one place?

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  10. 10. pro 2019.

    The new definition of "insider trading" contained in the House bill may have the effect of broadening the prohibition as applied to "computer data."

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  11. 27. stu 2019.

    While regulators may say that enforcement statistics don't matter, they obviously do, since every regulator touts its enforcement statistics. If they don't matter, why talk about them? If they do matter, what about them does?

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  12. 8. stu 2019.

    As trade execution fees drop, even to zero, and imposes further regulatory burdens on firms that make recommendations to retail investors, the business of being a full-service broker-dealer for retail investors is facing a lot of challenges.

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  13. proslijedio/la je Tweet
    6. stu 2019.

    .: "There is quite a lot here that must be considered not only by advisers, but also by funds that engage with them, and by broker-dealers selling securities issued by managed funds."

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  14. proslijedio/la je Tweet
    28. lis 2019.

    In this episode of the FCPA Compliance Report, I visit with Steven Lofchie. Lofchie and his team have developed an incredible new resource called The Cadwalader Cabinet, which is the “Go To One-Stop Shop”.

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  15. 24. lis 2019.

    Isn't this the type of matter in which the DOJ should be involved? Why is generating trading commissions from a dying and incapacitated person any different than sneaking into his hospital room and stealing his watch and wallet?

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  16. 8. lis 2019.

    Enjoy a bonus musical selection to accompany your reading.

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  17. 3. lis 2019.

    This is an early shot in what is likely to be an extended battle over potential revisions to the National Market System and, most importantly, how fees relating to trading through the system are charged.

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  18. 27. ruj 2019.

    By this action, the is focusing less on process and more on the end result; ultimately, the test will be whether the disclosure is good.

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  19. 20. ruj 2019.

    From a perspective, this holding may substantially undermine any claim by regulators or plaintiffs that an algorithmic trading firm that had improperly obtained data it used in trading from a public website violated SEA Rule 10b-5.

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  20. 13. ruj 2019.

    If regulators want more companies to go public, they must lower associated burdens. If they want retail investors to put money in risky startups, they must not put all the risk of failure on the brokers. Like economics, financial regulation is about trade-offs. Read more here.

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