Tag: SEC
United States SEC Fines 11 Firms $1.1 Billion for Using Text...
United States SEC Fines 11 Firms $1.1 Billion for Using Text Messaging & Non-Authorised Channels with No Record Keeping, Citi, UBS, Credit Suisse, Goldman...
United States SEC Fines $170 Billion Tech Giant Oracle $23 Million...
United States SEC Fines $170 Billion Tech Giant Oracle $23 Million for Using Slush Funds in Turkey, UAE & India to Bribe Foreign Officials...
United States SEC Charges Father & Son for Market Manipulation, New...
United States SEC Charges Father & Son for Market Manipulation, New Jersey Deli with $100 Million Market Capitalization with $40,000 Annual Revenue
29th September 2022...
United States SEC Fines Boeing $200 Million & Former CEO $1...
United States SEC Fines Boeing $200 Million & Former CEO $1 Million for Misleading Investors after Boeing 737 MAX Indonesia & Ethiopa Crashes 2018...
Morgan Stanley Smith Barney to Pay $35 Million Fine for Failure...
Morgan Stanley Smith Barney to Pay $35 Million Fine for Failure to Protect 15 Million of Clients Information, Sold Used IT Servers & Hard...
United States SEC Study: Impact of Fund Benchmarks on Investor Decision-Making,...
United States SEC Study: Impact of Fund Benchmarks on Investor Decision-Making, $25 Trillion Industry
22nd September 2022 | Hong Kong
The United States Securities & Exchange...
United States SEC Charged VMware for Misleading Investors by Shifting Revenue...
United States SEC Charged VMware for Misleading Investors by Shifting Revenue to Future Quarters to Soften Slowing Growth & Pays $8 Million in Fine,...
United States SEC Whistleblower Rules to Incentivise Whistleblower Tips, Total $1.3...
United States SEC Whistleblower Rules to Incentivise Whistleblower Tips, Total $1.3 Billion Paid & $5 Billion Sanctions Since 2010
1st September 2022 | Hong Kong
The...
United States SEC to Enhance Private Funds, Large Hedge Funds &...
United States SEC to Enhance Private Funds, Large Hedge Funds & Advisors Reporting
11th August 2022 | Hong Kong
The United States Securities & Exchange Commission...
United States SEC Charged 11 Individuals & Forsage for Crypto Pyramid...
United States SEC Charged 11 Individuals & Forsage for Crypto Pyramid & Ponzi Scheme, Raised $300 Million from Millions of Investors Worldwide with Footprints...
