Tag: United States SEC
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...
United States SEC Fines – Hydrogen Vehicle Company Hyzon Motors &...
United States SEC Fines - Hydrogen Vehicle Company Hyzon Motors & Executives Fined $25.3 Million for Fraud & Misleading Investors with Non-Existent Hydrogen Power...
United States SEC Fines Energy & Technology Group Monolith Resources $225,000...
United States SEC Fines Energy & Technology Group Monolith Resources $225,000 for Using Employee Separation Agreement to Waive Rights to Whistleblower Awards Related to...
United States SEC Fines $54 Billion 3M Company $6.5 Million for...
United States SEC Fines $54 Billion 3M Company $6.5 Million for Violating Foreign Corrupt Practices Act, China Subsidiary Paid $1 Million for More than...
