Reynolds Holding

SEPTEMBER 12, 2022

I’ve previously discussed the importance of corporate responsibility, the critical role of gatekeepers, the necessity for proactive compliance and cooperation, and the pervasive – yet unpersuasive – mantra of “regulation by enforcement,” in connection with the trust-building process. That would be unfair, unequitable, and undemocratic.

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Reynolds Holding

APRIL 18, 2024

One of the hallmarks of PCCE is that it brings together academics, regulators, and industry professionals, and allows us to have candid conversations about corporate misconduct and the ways in which we can all work together to improve compliance. 5] But it’s not just in the crypto markets. I’ll simply note they exist. [5]

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IVSC

JANUARY 26, 2022

This interaction is like a compass that helps guide me and our organization on the topics and issues that are important and where the profession is heading. ” How well do you think governments and financial regulators around the world understand the appraisal profession?

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Reynolds Holding

JANUARY 22, 2024

During his tenure, the Commission adopted a very significant and impactful regulation — rule 146 under the Securities Act of 1933 (the “Securities Act”). [1] Yet, apparently, this approach is not feasible when it comes to crypto and digital assets. 1] If rule 146 does not ring a bell, do not worry. Ralston Purina Co. [4]

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Reynolds Holding

JANUARY 25, 2023

All financial activities should be subject to consistent and efficient regulation and enforcement, regardless of the entity, the technology, or the business model. The SEC will also continue to work in parallel with its fellow federal agencies, law enforcement authorities, international regulators, and self-regulatory organizations.

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Reynolds Holding

DECEMBER 5, 2022

Cybersecurity : Cybersecurity continues to be a challenging area of risk management, with plaintiffs bringing Caremark claims based on cybersecurity breaches, regulators requiring additional disclosures about risk management and proxy advisors factoring cybersecurity risk oversight into their governance assessments. In addition, the E.U.’s

Technology 66

Technology Banking Compliance Finance 66

Reynolds Holding

MAY 11, 2022

The SEC now regulates three clearinghouses that clear security-based swaps, in particular credit default swaps. Other Topics. Lastly, I’d like to raise two other topics before I close. Crypto and Derivatives. One is on the intersection of crypto assets with derivatives. Transparency. Thus, our rules apply to them.

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Marketability Banking Compliance Treasury 45

Reynolds Holding

MARCH 24, 2024

Disclosure-Related Rulemaking Just as we’ve done in the past, these last two years we’ve adopted rules providing investors with disclosures on emerging risks like climate and cybersecurity; capital raising technologies, like special purpose acquisition companies (SPACs); and an age-old topic—executive compensation. 2004), available at [link].

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Marketability Market Risk Compliance Start-ups 45

Reynolds Holding

FEBRUARY 13, 2024

7] A much narrower approach to “major questions” was also taken in a securities law decision by Judge Jed Rakoff in the Southern District of New York, where he rejected the idea that the size of the crypto industry was sufficient to turn application of long-standing SEC rules into a “major question.” [8] EPA in 2022. [4]

Treasury 59

Treasury Corporate Finance Marketability Compliance 59

Reynolds Holding

MAY 18, 2022

These statutes created requirements and regulations around disclosure, registration, exchanges, and broker-dealers, and established the SEC to oversee the markets. Moreover, the highly volatile and speculative crypto marketplace has mushroomed, attracting tens of millions of American investors and traders. [3]

Marketability 59

Marketability Finance Corporate Finance Technology 59

Harvard Corporate Governance

NOVEMBER 21, 2022

Regulatory : Changes and potential changes in law, regulation, policy, and/or political leadership, including the regulatory agenda of the Biden administration, may necessitate modifications to risk factor disclosure for certain companies. 1 See Item 105 of Regulation S-K, available here. (go A Note on the Presentation of Risks.

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Reynolds Holding

MAY 16, 2023

As to why the activity of the Task Force, while important, has been lighter touch than anticipated, it may simply be a function of the rise of competing priorities at the SEC, most notably the allocation of significant enforcement resources to crypto-related investigations.

Start-ups 45

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Reynolds Holding

AUGUST 9, 2023

Further, while US regulators initially signaled that capital levels would not be materially impacted by the Endgame Standard, the Capital Proposal is now expected to increase common equity Tier 1 (“CET1”) capital by around 16% for banking organizations subject to the Capital Proposal. 2 Comments on both proposals are due by November 30, 2023.

Banking 52

Banking Market Risk Marketability Finance 52

Reynolds Holding

FEBRUARY 1, 2023

House of Representatives to ban Chinese-owned social media app TikTok from operating in the United States and widespread attention focused on the crypto industry following the November 2022 implosion of cryptocurrency exchange FTX). Senate and U.S. billion acquisition of One Medical). Celsius Network, LLC, FTX Trading Ltd.

Finance 45

Finance Equity Technology Banking 45

Reynolds Holding

FEBRUARY 23, 2023

Which brings me to my next topic: the Fraud Section’s enforcement results over the past year. With respect to the section’s enforcement efforts, in 2022, MIMF prosecutors, together with our partners, charged nine defendants and brought a Crypto Fraud Enforcement Action. Crypto markets can be volatile yet alluring to many.

Compliance 45

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Reynolds Holding

MARCH 27, 2023

In notable contrast to prior years, however, the number of crypto unregistered securities cases increased considerably, from just one in 2021 to 16 in 2022. Filings By Industry Sector As shown in Figure 2 below, the distribution of non-merger objection and non-crypto unregistered securities filings in 2022 was largely consistent with 2021.

Technology 59

Technology Start-ups Compliance Finance 59

Reynolds Holding

OCTOBER 5, 2022

SPAC and crypto-related filings continue to be a focus of plaintiffs’ attorneys, even as the nature of these suits continues to evolve. Aspects of the decision in Goldstein suggest this is a topic that the court may be interested in exploring more in the future. A. Filing Trends. at *2–3, *46, *50. at *2, *47. A third, Assad v.

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