Jim Wintering

ID: 1b8332a8-2619-30fb-68c4

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Claimed Record

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Organization: Cleary Gottlieb Steen & Hamilton LLP

SEC Files First Suit Against Alleged Unregistered Broker-Dealer Operating in Digital Asset Markets

Cleary Enforcement Watch · October 10, 2019

SEC Files First Suit Against Alleged Unregistered Broker-Dealer Operating in Digital Asset Markets

Cleary Cybersecurity and Privacy Watch · October 10, 2019

SEC Adopts Regulation Best Interest and Investment Adviser Conduct Guidance

Cleary Enforcement Watch · June 20, 2019

FINRA Publishes AML Red Flags to Help Broker-Dealers Satisfy Suspicious Activity Monitoring and Reporting Requirements

Cleary Enforcement Watch · May 24, 2019

SEC Privacy Risk Alert may Foreshadow Upcoming Reg S-P Enforcement Against Broker-Dealers, Investment Advisers

Cleary Enforcement Watch · May 15, 2019

Practice Areas

Privacy and Cybersecurity

Business and Commercial

Jurisdictions