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3 Sep 2011, 2:56 pm by Jay Eng
According to Reuters, attorneys at the Securities and Exchange Commission (“SEC”) have reportedly begun making requests for information concerning proprietary algorithmic trading data as part of its authority to examine financial firms for compliance with federal regulations according to officials and outside lawyers. [read post]
8 Dec 2011, 3:25 pm by Hakemi
The Wall Street Journal reported earlier today that the Ontario Securities Commission (“OSC”) has approved Alpha (Alpha Trading Systems Limited Partnership and Alpha Exchange Inc.), Canada’s largest alternative trading platform to the TSX, as a stock exchange (see: Ontario Securities Regulator Allows Alpha to be Exchange). [read post]
3 May 2022, 10:44 am by jeffreynewmanadmin
The Securities and Exchange Commission is doubling the number of positions in its Enforcement’s Crypto Assets and Cyber Unit to meet the growing number of violations and complaints and the skyrocketing number of investors in the crypto markets. [read post]
21 Sep 2009, 10:20 am by Joy Doss
According to the Courthouse News Service, the Securities and Exchange Commission (SEC) has fined Regions Bank $1 million for its role in an investment scam. [read post]
29 Jul 2022, 12:36 pm by jeffreynewmanadmin
The post Carson Block and Muddy Waters sued for half of the $14 million whistleblower award by the Securities and Exchange Commission appeared first on Newman & Shapiro. [read post]
16 Aug 2021, 7:05 am by Mark Astarita
The Securities and Exchange Commission and the European Central Bank (ECB) today announced the signing of a Memorandum of Understanding (MOU) to consult, cooperate, and exchange information in connection with the supervision, enforcement, and oversight…Read the Full Press ReleaseHave a securities law question? [read post]
14 Apr 2021, 1:36 pm by jeffreynewmanadmin
The Securities and Exchange Commission charged Douglas Elstun, an investment advisor serving pro athletes, with defrauding his clients with undisclosed fees and misleading them about a high-risk investment strategy. [read post]
15 Nov 2021, 3:53 pm by Steve Bainbridge
From Davis Polk: On September 29, 2021, the Securities and Exchange Commission (SEC) proposed amendments to Form N-PX to enhance the information mutual funds, exchange-traded funds (ETFs), and other... [[ This is a content summary only. [read post]
18 Mar 2009, 2:40 am
United States Securities and Exchange Commission v Manterfield Court of Appeal “A regulatory body in the United States seeking to enforce disgorgement of proceeds of alleged fraud could be granted a freezing order over assets in the United Kingdom. [read post]
2 Jul 2009, 8:37 pm
Further complication … The Securities and Exchange Commission (SEC) reportedly previously investigated suspicions of insider trading between Husband and the hedge fund in stock of Husband’s former employer. [read post]
24 Jul 2012, 12:36 pm
The United States Senate is introducing a bill with bipartisan support to try to increase the effectiveness of fines levied by the Securities and Exchange Commission (SEC). [read post]
10 Dec 2021, 10:00 am by Sherry Liu
After the Securities and Exchange Commission (SEC) amended its “accredited investor” definition in August 2020, it amended its rules once again in November of the same year. [read post]
8 Jun 2022, 11:39 am by jeffreynewmanadmin
The Securities and Exchange Commission today charged audit firm CohnReznick LLP with improper professional conduct on engagements for two clients in 2017. [read post]
17 Oct 2009, 10:39 pm
Securities and Exchange Commission named Adam Storch, a 29-year-old from Goldman Sachs Group Inc.'s business intelligence unit, as the enforcement division's first chief operating officer.Storch, who joined the SEC Oct. 13, was named to the newly created post of managing executive in the enforcement unit, charged with making the division more efficient, the SEC said today in a statement. [read post]
21 Jul 2013, 10:00 pm by Nietzer
., April 16, 2013)    The Securities and Exchange Commission today charged Parker Drilling Company, a worldwide drilling services and project management firm, with violating the Foreign Corrupt Practices Act (FCPA) by authorizing improper payments to a third-party intermediary retained to assist the company in resolving customs disputes. [read post]