Tag: United States Securities & Exchange Commission
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...
United States SEC Fines Dutch Philips $62 Million for Medical Sales...
United States SEC Fines Dutch Philips $62 Million for Medical Sales Corruption in China, Improper Payments to Government Employees, Influence Hospital Officials to Draft...
United States SEC Fines HSBC $15 Million & Scotia Capital $7.5...
United States SEC Fines HSBC $15 Million & Scotia Capital $7.5 Million for Whatsapp Usage, Top Financial Institutions Fined $1.8 Billion in September 2022
12th...
United States SEC Issues Largest-ever Payout of $279 Million to Whistleblower...
United States SEC Issues Largest-ever Payout of $279 Million to Whistleblower to Help Recover $4 Billion to Investors, Previous Record Payout of $114 Million...
United States Regulator Files Intent to Revoke License of Allianz Global...
United States Regulator Files Intent to Revoke License of Allianz Global Investors, Charged in 2022 with 3 Senior Portfolio Managers for Fraud to Conceal...
United States SEC Charged Financial Advisor for Misappropriating More than $1...
United States SEC Charged Financial Advisor for Misappropriating More than $1 Million over 2 Years from NBA Basketball Players, Used Funds to Pay for...
