Tag: United States SEC
United States SEC Implements New Governance Requirements to Reduce Conflict of...
United States SEC Implements New Governance Requirements to Reduce Conflict of Interest on Service Providers for Core Services, Board Composition, Independent Directors, Nominating Committees...
United States SEC Fines Royal Bank of Canada $6 Million for...
United States SEC Fines Royal Bank of Canada $6 Million for Failure to Accurately Account for Internally Developed Software Project Costs But Applied an...
SPAC Digital World Acquisition Corp Cancels Plan to Merge with Donald...
SPAC Digital World Acquisition Corp Cancels Plan to Merge with Donald Trump Media & Technology Group Which Operates Truth Social Platform after Investors Backtrack...
United States SEC 2024 Priorities: Examination of Investment Advisors & Advisors...
United States SEC 2024 Priorities: Examination of Investment Advisors & Advisors to Private Funds, Investment Companies, Broker-Dealers & Trading Practices, Self-Regulatory Organisations, Clearing Agencies,...
United States SEC New Rule on Additional Information Disclosure on Short...
United States SEC New Rule on Additional Information Disclosure on Short Selling of Equity Securities Transactions for Institutional Investors
14th October 2023 | Hong Kong
The...
United States SEC New Rule on Additional Information Disclosure on Securities...
United States SEC New Rule on Additional Information Disclosure on Securities Loans to be Reported to the Registered National Securities Association
14th October 2023 |...
United States SEC Fines 10 Firms $79 Million for Using Text...
United States SEC Fines 10 Firms $79 Million for Using Text Messaging Platforms Including Whatsapp & Not Maintaining Records of Communications, 10 Firms Fined...
United States SEC Fines Leading $60 Billion Hedge Fund D. E....
United States SEC Fines Leading $60 Billion Hedge Fund D. E. Shaw $10 Million for Violating Whistleblower Protection Rule, Required 400 Departing Employees to...
United States SEC Charged Former Investment Firm Analyst & 3 Others...
United States SEC Charged Former Investment Firm Analyst & 3 Others for Insider Trading Using M&A Information to Generate Profit of $460,000
30th September 2023...
United States SEC Fines & Charges: Chemical Group Albemarle Fined $103.6...
United States SEC Fines & Charges: Chemical Group Albemarle Fined $103.6 Million for Bribery in China, India, Vietnam, Indonesia & UAE, Electric Vehicle Company...
