Search for: "US Securities and Exchange Commission"
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19 Jan 2024, 10:34 am
Enforcing the FCPA is a perennial priority for the Department of Justice (DOJ) and Securities and Exchange Commission (SEC), the agencies with primary responsibility for enforcing the statute. [read post]
19 Jan 2024, 7:37 am
His customer alleged in the complaint filed with SEC (Securities and Exchange Commission) that “she invested $30,000.00 in September 2021 and another $5,000.00 in August 2022 with the representative. [read post]
19 Jan 2024, 3:00 am
The money was allegedly used for day-to-day personal spending, as well as lavish vacations and gifts. [read post]
18 Jan 2024, 9:01 pm
On January 10, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) announced parallel resolutions with SAP, a German software company, to resolve investigations into violations of the Foreign Corrupt Practices Act (FCPA). [read post]
18 Jan 2024, 11:13 am
On January 10, 2024, the Securities and Exchange Commission (SEC) announced that global software company SAP had agreed to pay $100M for violations of the Foreign Corrupt Practices Act (FCPA). [read post]
18 Jan 2024, 9:33 am
Add JP Morgan Securities to the ever-expanding list of companies the Securities and Exchange Commission (SEC) has gone after for violating the agency’s Whistleblower Protection Rule — SEC Rule 21F-17(a). [read post]
17 Jan 2024, 8:57 am
On 17 January 2024, the Basel Committee on Banking Supervision (Basel Committee) and the International Organization of Securities Commissions (IOSCO) published a report on streamlining variation margin processes and the responsiveness of initial margin models in non-centrally cleared markets. [read post]
16 Jan 2024, 9:05 pm
Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission. [read post]
16 Jan 2024, 2:47 pm
Securities and Exchange Commission (SEC) announced an enforcement action against J.P. [read post]
16 Jan 2024, 1:19 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
16 Jan 2024, 12:04 pm
It was a relatively quiet year for the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) in their payout of whistleblower awards under their respective whistleblower programs. [read post]
16 Jan 2024, 8:05 am
Securities and Exchange Commission (SEC). [read post]
16 Jan 2024, 7:20 am
The Securities and Exchange Commission just settled charges against J.P. [read post]
16 Jan 2024, 7:17 am
The Securities and Exchange Commission just settled charges against J.P. [read post]
16 Jan 2024, 3:30 am
The unauthorized party made one post at 4:11 pm ET purporting to announce the Commission’s approval of spot bitcoin exchange-traded funds, as well as a second post approximately two minutes later that said “$BTC. [read post]
15 Jan 2024, 7:08 pm
In August 2023, the US Securities and Securities and Exchange Commission (SEC) filed a regulatory case accusing Tremblay of Best Interest violations. [read post]
14 Jan 2024, 6:30 pm
Background On 22 December 2023, the Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) issued an updated joint circular on intermediaries’ virtual asset-related activities (Joint Circular) with appendices. [read post]
12 Jan 2024, 11:58 am
SEC Charged Morgan Stanley and Exec with Multi-year Fraud On January 12, 2024, the Securities and Exchange Commission (SEC) filed charges against investment bank Morgan Stanley & Co. [read post]
12 Jan 2024, 8:56 am
The Securities and Exchange Commission today charged investment banking company Morgan Stanley & Co. [read post]
12 Jan 2024, 7:42 am
Grayscale led the fight at the Securities and Exchange Commission (“SEC”) for approval of spot bitcoin-exchange traded funds (“ETFs”). [read post]
