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16 Jan 2009, 9:44 am
Inc. on Tuesday accused Dechert and K&L Gates of failing to advise it four years ago that two members of its board weren't independent, opening the fund up to scrutiny from the Securities and Exchange Commission. [read post]
27 Sep 2010, 10:13 am
Federal district court judge Ellen Segal Huvelle's announcement follows a monthlong delay created by her insistence that the Securities and Exchange Commission provide greater assurances that Citi truly revamp its disclosure policies, and that the settlement fund be used to compensate bank shareholders. [read post]
14 Aug 2018, 4:17 pm
Securities and Exchange Commission (SEC) has a three-part mission: Protect investors Maintain fair, orderly, and efficient markets Facilitate capital formation I think it needs to add: "Ensure proper entity identification. [read post]
3 Nov 2020, 10:00 pm
On October 28, 2020, the US Securities and Exchange Commission voted 3–2 to adopt Rule 18f-4 under the Investment Company Act of 1940, which will replace decades-old SEC and staff guidance with an updated, comprehensive framework for registered funds’ use of derivatives. [read post]
4 Nov 2010, 1:09 pm
The Justice Department and the Securities and Exchange Commission today announced sweeping settlements against seven oil services and freight forwarding companies for bribing foreign officials, with total penalties of $236 million. [read post]
23 Jun 2024, 10:00 pm
The US Securities and Exchange Commission has adopted amendments to Regulation S-P requiring entities under its remit to provide notice to individuals affected by certain types of data breaches. [read post]
6 Jul 2012, 10:50 am
A former Citigroup Inc. employee has asked a federal judge to bar the Securities and Exchange Commission from asking "leading questions" to a series of witnesses at his upcoming trial in a civil fraud case over a $1 billion mortgage-bond deal brokered by the bank. [read post]
6 Apr 2022, 10:00 pm
Morgan Lewis partners Lance Dial, Erin Martin, and Kirstin Gibbs drafted an article for Reuters describing key provisions of the US Securities and Exchange Commission’s (SEC’s) proposed climate disclosure rules related to asset management. [read post]
19 Apr 2022, 10:00 pm
In a historical proposed rulemaking, the US Securities and Exchange Commission marked the first time it has indicated that climate-related disclosure is material information that all public companies must provide regardless of industry or size. [read post]
31 Aug 2011, 3:50 am
The Wall Street Journal is reporting that Oracle is being investigated by attorneys at the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) for possible violations of the Foreign Corrupt Practices Act (FCPA) arising out of software sales in Africa. [read post]
15 Jul 2010, 2:55 pm
In the largest-ever penalty paid by a Wall Street firm, Goldman Sachs & Co. today agreed to pay $550 million to settle Securities & Exchange Commission fraud charges. [read post]
10 Mar 2008, 3:56 am
In a filing with the Securities and Exchange Commission, bond insurer MBIA said several senior management executives agreed in December to buy [...] [read post]
22 Mar 2022, 11:20 am
The WSJ reports: The Securities and Exchange Commission formally... [[ This is a content summary only. [read post]
30 May 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) recently approved a proposed environmental, social, and governance (ESG) rulemaking for investment advisers and funds. [read post]
14 Aug 2022, 10:00 pm
Associates Rachel Mann and Timothy Durbin authored a column for GreenBiz discussing proposed regulations from the US Securities and Exchange Commission (SEC) and US Department of Labor (DOL) that highlight the potential impact of environmental, social, and governance (ESG) factors on corporate financial performance. [read post]
10 Jul 2024, 6:00 am
On June 27, 2024, the Supreme Court released its opinion in Securities and Exchange Commission v. [read post]
18 Oct 2011, 3:47 am
The Securities and Exchange Commission (SEC) has asked public companies to disclose any cyber attacks against them. [read post]
13 Oct 2021, 4:00 am
Securities and Exchange Commission when going public.Special thanks to our sponsors, Alert Communications and Smokeball. [read post]
26 Apr 2013, 12:32 pm
As the latest 10-K filing period for corporations draws to a close, the Securities and Exchange Commission (SEC) is expected to intensify its scrutiny on whether companies' filings adequately disclose both... [read post]
21 Dec 2006, 11:59 am
As Congress and the Securities and Exchange Commission consider tightening the reins on hedge funds, an article in the latest issue of Foreign Affairs is suggesting they should let them run free. [read post]
