Tag: United States Securities & Exchange Commission
$12.9 Billion Grab President Ming Maa to Step Down in April...
$12.9 Billion Grab President Ming Maa to Step Down in April 2024 & Chief People Officer Ong Chin Yin Appointed as Board Director, Tan...
United States SEC Fines Asset Manager BlackRock $2.5 Million for Wrongly...
United States SEC Fines Asset Manager BlackRock $2.5 Million for Wrongly Describing Invested Company Aviron in Entertainment, Print & Advertising as Diversified Financial Services...
United States SEC Shortens 13D Shareholding Ownership Filing Requirement from 10...
United States SEC Shortens 13D Shareholding Ownership Filing Requirement from 10 Business Days to 5 Business Days & 13D Amendments to 2 Business Days
12th...
United States SEC Fines Citigroup $2.9 Million for Using Unverified Method...
United States SEC Fines Citigroup $2.9 Million for Using Unverified Method to Calculate & Record Indirect Expenses for Underwriting Fees, Did Not Know Basis...
United States SEC Awards $104 Million to 7 Whistleblowers, Issued Largest-ever...
United States SEC Awards $104 Million to 7 Whistleblowers, Issued Largest-ever Payout of $279 Million to Whistleblower in 2023 May Which Helped Recovered $4...
United SEC Proposed Requirements for Firms to Neutralize Conflicts of Interest...
United SEC Proposed Requirements for Firms to Neutralize Conflicts of Interest When Using Artificial Intelligence & Predictive Data Analytics, Investment Advisors Operating Via Internet...
United States SEC Charged Former SPAC Board Member of Digital World...
United States SEC Charged Former SPAC Board Member of Digital World Acquisition Corporation for Insider Trading to Acquire Trump Media & Technology Group, Generated...
United States SEC Fines Audit Firm Marcum $10 Million for Violation...
United States SEC Fines Audit Firm Marcum $10 Million for Violation of Audit Standards, Took 600 SPAC Clients in 1 Year with 25% to...
United States SEC Charged Crypto Trading Platform Coinbase for Illegal Offering...
United States SEC Charged Crypto Trading Platform Coinbase for Illegal Offering of Securities & Operating as Unregistered Securities Exchange
9th June 2023 | Hong Kong
The...
$11 Billion Grab Co-Founder Tan Hooi Ling to Step Down from...
$11 Billion Grab Co-Founder Tan Hooi Ling to Step Down from Operational Roles & Directorship at the end of 2023 and to Remain as...
