Tag: SEC
United States SEC Fines Barbie-Maker Mattel $3.5 Million for Financial Misrepresentation...
United States SEC Fines Barbie-Maker Mattel $3.5 Million for Financial Misrepresentation in 2017 with $109 Million Error, Former PwC Audit Partner Knowingly Did Not...
United States SEC Proposes New Monitoring Requirement for Services Outsourced By...
United States SEC Proposes New Monitoring Requirement for Services Outsourced By Asset Managers & Investment Advisors, Increased Risks to 60 Million Accounts & $100...
United States Commodity Futures Trading Commission Fines 11 Firms $710 Million...
United States Commodity Futures Trading Commission Fines 11 Firms $710 Million for Using Text Messaging & Non-Authorised Channels with No Record Keeping, Citi, UBS,...
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,...
