Compliance Cryptocurrency Enforcement

Misleading Advertising and Compliance Failures: SEC Charges Titan Global Capital Management

The SEC has taken action against Titan Global Capital Management USA LLC, a FinTech investment adviser based in New York. The charges revolve around the company’s use of misleading hypothetical performance metrics in its advertisements. Additionally, Titan has been accused of multiple compliance failures that led to distorted disclosures concerning […]

Securities and Exchange Commission
Cryptocurrency Enforcement News

Settlement:Bittrex Settles Charges of Operating Unregistered Securities Exchange

Introduction: The SEC has announced a settlement involving Bittrex Inc., a prominent crypto asset trading platform, and its co-founder, William Shihara. The agreement pertains to charges of operating an unregistered national securities exchange, broker, and clearing agency. Bittrex Inc.’s foreign affiliate, Bittrex Global GmbH, is also included in the settlement, […]


AI Use Investigated by Gavin

William Galvin, the Massachusetts Secretary of the Commonwealth, has opened an investigation into the use of artificial intelligence by brokers. The investigation aims to understand how brokers use AI in their practices and whether there are any potential risks or issues related to its implementation. The focus is on ensuring […]