Tag: SEC
United States SEC Files Insider Trading Charges Against Former Prosecutor &...
United States SEC Files Insider Trading Charges Against Former Prosecutor & Retired Congressman with $334,000 Profit on $1.5 Million of Stocks, Acquired Tip During...
United States SEC Files Insider Trading Charges Against 9 Individuals for...
United States SEC Files Insider Trading Charges Against 9 Individuals for Trading Ahead of Corporate Acquisition Announcements, $6.8 Million in Profit & Gifted Rolex...
United States SEC Fines JP Morgan, UBS & TradeStation $2.55 Million...
United States SEC Fines JP Morgan, UBS & TradeStation $2.55 Million for Failure to Prevent Customer Identity Theft
28th July 2022 | Hong Kong
The United...
United States SEC M&A Office Requests Elon Musk Team to Provide...
United States SEC M&A Office Requests Elon Musk Team to Provide Info on Tweets & Analysis to Cancel $44 Billion Twitter Acquisition
15th July 2022...
United States SEC Fines UBS $25 Million to Settle Investor Fraud...
United States SEC Fines UBS $25 Million to Settle Investor Fraud Charges for Yield Enhancement Strategy Account, Failed to Provide Advisors with Adequate Training...
United States SEC Fines EY $100 Million Audit Professionals Cheating on...
United States SEC Fines EY $100 Million Audit Professionals Cheating on CPA Licenses Exams, Withheld Evidence & Hindered Investigation
30th June 2022 | Hong Kong
The...
United States SEC Proposes Transparent Stock Trade Auction after 2021 Meme...
United States SEC Proposes Transparent Stock Trade Auction after 2021 Meme Stock Mania, More Disclosure on Fees & Data
10th June 2022 | Hong Kong
The...
United States SEC Proposes Fund Name Must Match 80% of Investment...
United States SEC Proposes Fund Name Must Match 80% of Investment Strategy, Prevent Misleading or Deceptive Fund Names
26th May 2022 | Hong Kong
The United...
United States SEC Proposes ESG Categories, to Provide Specific ESG Category...
United States SEC Proposes ESG Categories, to Provide Specific ESG Category Disclosures
26th May 2022 | Hong Kong
The United States Securities & Exchange Commission (SEC)...
United States SEC Adds 100 Firms to Watchlist under Holding Foreign...
United States SEC Adds 100 Firms to Watchlist under Holding Foreign Companies Accountable Act, Pinduoduo, Tencent Music, XPeng, JD.com, Netease, China Mobile, China Life,...
