Search for: "Securities and Exchange Commission"
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22 Dec 2023, 6:02 am
The Securities and Exchange Commission today announced fraud charges against Brooge Energy Limited, a publicly-traded energy company located in the United Arab Emirates, the company’s former CEO, Nicolaas Lammert Paardenkooper, and its former Chief…Read the Full Press Release Have a securities law question? [read post]
20 Dec 2024, 7:00 am
The Securities and Exchange Commission today charged registered investment adviser Silver Point Capital L.P. with failing to establish, implement, and enforce written policies and procedures reasonably designed to prevent the misuse of material nonpublic…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
26 Apr 2023, 11:55 am
The Securities and Exchange Commission’s Division of Investment Management today announced it will host virtually an inaugural Conference on Emerging Trends in Asset Management on Friday, May 19, 2023. [read post]
17 Jun 2024, 8:20 am
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled its new public service campaign, which highlights investor protection and encourages investors to explore the free tools and resources on Investor. [read post]
3 Mar 2023, 7:10 am
The Securities and Exchange Commission today charged Silver Edge Financial LLC, Equity Acquisition Company Ltd. [read post]
14 Dec 2022, 12:55 pm
The Securities and Exchange Commission today proposed a rule that would require certain orders of individual investors to be exposed to competition in fair and open auctions before such orders could be executed internally by any trading center that…Read the Full Press ReleaseHave a securities law question? [read post]
20 Sep 2024, 7:45 am
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on Nov. 7, 2024. [read post]
4 May 2023, 7:55 am
The Securities and Exchange Commission today announced 14 new members of the Small Business Capital Formation Advisory Committee. [read post]
12 Jul 2023, 8:55 am
The Securities and Exchange Commission today adopted amendments to certain rules that govern money market funds under the Investment Company Act of 1940. [read post]
19 Dec 2022, 9:31 am
The Securities and Exchange Commission today announced charges against Honeywell International Inc. for violations of the Foreign Corrupt Practices Act (FCPA) arising out of bribery schemes that took place in Brazil and Algeria. [read post]
26 Jun 2023, 1:05 pm
The Securities and Exchange Commission today announced charges against Broward County, Florida resident Sanjay Singh and his trucking and logistics company, Royal Bengal Logistics Inc., with fraudulently raising approximately $112 million from as many as…Read the Full Press Release Have a securities law question? [read post]
27 Mar 2023, 3:15 pm
The Securities and Exchange Commission today charged former broker Surage Kamal Roshan Perera and his firm, Janues Capital Incorporated, with defrauding at least one investor out of millions by lying about investment opportunities and strategies,…Read the Full Press ReleaseHave a securities law question? [read post]
10 Oct 2024, 9:35 am
The Securities and Exchange Commission today announced a $12 million award to be split among three joint whistleblowers who provided critical information and assistance in an SEC enforcement action. [read post]
25 May 2022, 11:05 am
The Securities and Exchange Commission today proposed amendments to enhance and modernize the Investment Company Act “Names Rule” to address changes in the fund industry and compliance practices that have developed in the approximately 20 years since the…Read the Full Press ReleaseHave a securities law question? [read post]
31 Mar 2023, 7:55 am
The Securities and Exchange Commission today announced awards of more than $12 million to two whistleblowers who provided information and assistance in a successful SEC enforcement action. [read post]
7 Jul 2023, 8:11 am
The Securities and Exchange Commission today charged former U.S. [read post]
19 Sep 2023, 8:47 am
The Securities and Exchange Commission today announced charges against Concord Management LLC of Tarrytown, New York, and its owner and principal, Michael Matlin, for operating as unregistered investment advisers to their only client—a wealthy former…Read the Full Press Release Have a securities law question? [read post]
21 Aug 2024, 4:15 pm
The Securities and Exchange Commission today adopted a rule that updates the dollar threshold for a fund to qualify as a “qualifying venture capital fund” for purposes of the Investment Company Act of 1940. [read post]
1 Jul 2024, 1:30 pm
The Securities and Exchange Commission today charged Silvergate Capital Corporation, its former CEO Alan Lane, and former Chief Risk Officer (CRO) Kathleen Fraher with misleading investors about the strength of the Bank Secrecy Act/Anti-Money Laundering…Read the Full Press Release Have a securities law question? [read post]
17 Sep 2024, 6:06 am
The Securities and Exchange Commission today announced charges against 12 municipal advisors for failures by the firms and their personnel to maintain and preserve certain electronic communications. [read post]
