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29 Mar 2024, 6:30 am
Securities and Exchange Commission, on Saturday, March 23, 2024 Tags: Climate, cyber disclosure, SEC, SPACs, U.S. [read post]
29 Mar 2024, 6:30 am
Securities and Exchange Commission, on Saturday, March 23, 2024 Tags: Climate, cyber disclosure, SEC, SPACs, U.S. [read post]
29 Mar 2024, 4:00 am
Kari Lake, the Republican U.S. [read post]
28 Mar 2024, 9:05 pm
The primary areas of focus for the new whistleblower program will include (i) criminal abuses of the U.S. financial system; (ii) foreign corruption cases outside the jurisdiction of the Securities and Exchange Commission; and (iii) domestic corruption cases, especially involving illegal corporate payments to government officials. [read post]
28 Mar 2024, 9:01 pm
Treasury Department, issued a Notice of Proposed Rulemaking (“Proposed Rule”) that would extend certain anti-money laundering program requirements to: investment advisers registered (“RIAs”) with the Securities and Exchange Commission (“SEC”); and investment advisers that report to the SEC as exempt reporting advisers (“ERAs”). [read post]
27 Mar 2024, 5:25 pm
Securities and Exchange Commission (SEC) is pursuing enforcement based on a novel theory of “shadow insider trading. [read post]
27 Mar 2024, 1:28 pm
Securities and Exchange Commission is actively probing technology and telecom companies on how they responded to the SolarWinds cyber attack in 2020, according to Bloomberg. [read post]
26 Mar 2024, 9:50 pm
” The complaint alleges that the defendants violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [read post]
26 Mar 2024, 2:48 pm
On the same day as the SEC’s press release, the U.S. [read post]
26 Mar 2024, 8:11 am
The Securities and Exchange Commission has issued insider trading charges against Andreas “Andy” Bechtolsheim, the founder and Chief Architect of Silicon Valley-based technology company Arista Networks, Inc. [read post]
25 Mar 2024, 4:05 pm
Whistleblower attorneys from the law firm Kohn, Kohn & Colapinto (KKC) are urging the Department of Justice (DOJ) to model the whistleblower program it is developing on the hugely successful Dodd-Frank Act whistleblower programs administered by the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC). [read post]
25 Mar 2024, 2:51 pm
Securities and Exchange Commission is seeking fines and penalties totaling $2 billion in its case against Ripple Labs over sales of the cryptocurrency XRP, the company’s chief legal officer said in a social media post. [read post]
24 Mar 2024, 9:01 pm
As U.S. [read post]
24 Mar 2024, 11:08 am
The case is now known as In Re: Securities and Exchange Commission, The Enhancement and Standardization of Climate-Related Disclosures for Investors, Issued on March 6, 2024, J.P.M.L., MCP No. 180, consolidation order issued 3/21/24. [read post]
23 Mar 2024, 6:30 am
Securities and Exchange Commission. [read post]
23 Mar 2024, 6:30 am
Securities and Exchange Commission. [read post]
SEC climate rule prompts a rush to sue. Experts say companies are likely to prepare to comply anyway
22 Mar 2024, 9:50 am
Securities and Exchange Commission's new rule requiring companies to disclose some emissions and climate-related information was barely passed before the agency was being hauled to court. [read post]
21 Mar 2024, 5:29 am
The next step will be for the MDL panel to hold a random drawing to determine which of the six U.S. [read post]
20 Mar 2024, 3:30 am
So, while the Commission still dangles the prospect of a “substituted compliance” approach in some far away future, in the meantime, foreign private issuers are expected to be subject to the same one-size-fits-all approach when it comes to reporting climate-related information for purposes of the U.S. federal securities laws. [read post]
19 Mar 2024, 12:49 pm
The Securities and Exchange Commission announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million civil penalty and imposing a permanent injunction to settle charges that it engaged in the unregistered offer and sale of securities through a crypto asset lending program known as the Gemini Earn program. [read post]
