As exemplified by their coordinated spoofing takedown last year, the CFTC and DOJ continue to be aggressive in their pursuit of rooting out spoofing and disruptive trading activity by individuals and the companies that employ them.

On June 5, 2019, the SEC adopted Regulation Best Interest (“Reg. BI”), which not only required the disclosure of interest, but also imposed a standard of conduct on broker-dealers (“BDs”) when making a recommendation to a retail customer of any securities transaction or investment strategy.

Murphy & McGonigle’s leading FinTech & Blockchain Practice is pleased to publish a new edition of “Who’s on the Block,” a roundup of blockchain conferences, speaking appearances, and insights into blockchain technology.

A company’s cybersecurity and data privacy compliance programs are only as good as their weakest links, which often are the company’s third-party vendors.

Joseph Facciponti of Murphy & McGonigle’s White Collar Defense, Investigations & Compliance Counseling Practice will join various industry leaders as a featured speaker at the Program on Corporate Compliance and Enforcement (PCCE) at NYU School of Law’s upcoming conference, “The New Face of AML Enforcement and Compliance.”

Robert Appleton, a globally recognized anti-corruption and Foreign Corrupt Practices Act expert and one of the foremost FCPA and AML practitioners in the world, has joined the financial services law firm Murphy & McGonigle, it was announced today.