A lot is happening in the world of digital assets regulation, and we know it is difficult to keep track of it all. That is why we built this digital assets regulatory tracker. Each month, we publish a list with links to digital asset-related materials issued by the SEC, CFTC and DOL. Please click here if you would like to sign up to receive this monthly tracker via email.
JANUARY 2023
SEC - 12 Entries
January 31, 2023
In the Matter of Poloniex, LLC
Administrative Proceedings 34-96679
Plan of Distribution: https://www.sec.gov/litigation/admin/2023/34-96779-dp.pdf
January 20, 2023
SEC Charges Avraham Eisenberg with Manipulating Mango Markets’ “Governance Token” to Steal $116 Million of Crypto Assets
Press Release: https://www.sec.gov/news/press-release/2023-13
Complaint: https://www.sec.gov/litigation/complaints/2023/comp-pr2023-13.pdf
Litigation Release: https://www.sec.gov/litigation/litreleases/2023/lr25623.htm
January 20, 2023
“Outdated” Remarks before the Digital Assets at Duke Conference by Commissioner Hester M. Peirce
January 20, 2023
American CryptoFED DAO, LLC
ALJ Orders: AP-6896
January 19, 2023
Nexo Agrees to Pay $45 Million in Penalties and Cease Unregistered Offering of Crypto Asset Lending Product
Press Release: https://www.sec.gov/news/press-release/2023-11
Administrative Proceedings: 33-11149
January 19, 2023
SEC Charges Caroline Ellison and Gary Wang with Defrauding Investors in Crypto Asset Trading Platform FTX
Litigation Release: https://www.sec.gov/litigation/litreleases/2023/lr25617.htm
Complaint: https://www.sec.gov/litigation/complaints/2023/comp25617.pdf
January 19, 2023
SEC Charges Samuel Bankman-Fried with Defrauding Investors in Crypto Asset Trading Platform FTX
Litigation Release: https://www.sec.gov/litigation/litreleases/2023/lr25616.htm
Complaint: https://www.sec.gov/litigation/complaints/2023/comp25616.pdf
January 17, 2023
In the Matter of the Registration Statement of Electropremium (Order Granting Petition for Review and Scheduling Briefs)
Administrative Proceedings 33-11147
January 13, 2023
Administrative Proceeding, In the Matter of Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough and Derek Acree
Administrative Proceedings 34-96664
January 13, 2023
In the matter of Unikrn, Inc.
Administrative Proceedings 34-96665
Plan of Distribution: https://www.sec.gov/litigation/admin/2023/34-96665-pdp.pdf
January 12, 2023
SEC Charges Genesis and Gemini for the Unregistered Offer and Sale of Crypto Asset Securities through the Gemini Earn Lending Program
Press Release: https://www.sec.gov/news/press-release/2023-7
Complaint: https://www.sec.gov/litigation/complaints/2023/comp-pr2023-7.pdf
January 4, 2023
SEC Charges Creator of CoinDeal Crypto Scheme and Seven Others in Connection with $45 Million Fraud
Press Release: https://www.sec.gov/news/press-release/2023-2
Complaint: https://www.sec.gov/litigation/complaints/2023/comp-pr2023-2.pdf
CFTC - 11 Entries
January 26, 2023
Keynote Address of Commissioner Kristin Johnson at Digital Assets @ Duke Conference, Duke’s Pratt School of Engineering and Duke Financial Economics Center: Mitigating Crypto-Crises: Applying Lessons Learned in Governance, Risk Management and Compliance
January 26, 2023
Commissioner Johnson to Deliver a Keynote Address at Emory Law School’s 2023 TI:GER Innovation Conference
January 21, 2023
Commissioner Johnson to Deliver Keynote Address at the Digital Assets at Duke
January 18, 2023
Keynote Address by Commissioner Christy Goldsmith Romero at The Wharton School and the University of Pennsylvania Carey Law School: Crypto’s Crisis of Trust: Lessons Learned from FTX’s Collapse
January 18, 2023
Commissioner Goldsmith Romero to Provide Keynote Address at the University of Pennsylvania Carey Law School’s Symposium, The FTX Fiasco: Unpacking the Most Complex Bankruptcy in History
January 18, 2023
Commissioner Pham to Participate in a Fireside Chat at the Global Blockchain Business Council’s Blockchain Central Davos
January 18, 2023
Commissioner Mersinger to Participate in a Fireside Chat at the Global Blockchain Business Council’s Blockchain Central Davos
January 16, 2023
Commissioner Goldsmith Romero to Discuss Blockchain for Public Institution Applications at GBBC’s Blockchain Central Davos 2023
January 10, 2023
Statement of Commissioner Caroline D. Pham Regarding Complaint Charging Swaps Manipulation and Fraud on a Decentralized Digital Asset Exchange
January 9, 2023
Statement of Commissioner Kristin N. Johnson Regarding CFTC Action Against Market Manipulation Scheme in the Digital Assets Markets
January 9, 2023
CFTC Charges Avraham Eisenberg with Manipulative and Deceptive Scheme to Misappropriate Over $110 million from Mango Markets, a Digital Asset Exchange
DOL
No entries
ARCHIVES
December 2022
November 2022
October 2022
September 2022
August 2022
We value your thoughts and opinions, please send any feedback or suggestions to our editor here.
Information contained in this publication should not be construed as legal advice or opinion or as a substitute for the advice of counsel. The articles by these authors may have first appeared in other publications. The content provided is for educational and informational purposes for the use of clients and others who may be interested in the subject matter. We recommend that readers seek specific advice from counsel about particular matters of interest.
Copyright © 2023 Stradley Ronon Stevens & Young, LLP. All rights reserved.