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Tag: SEC
The Securities and Exchange Commission charged Goldman Sachs Asset Management, L.P. (GSAM) for policies and procedures failures involving two mutual funds and one separately managed account strategy marketed as ESG...
The Securities and Exchange Commission today instituted administrative proceedings against American CryptoFed DAO LLC (American CryptoFed), a Wyoming-based organization, to determine whether a stop order should be issued to suspend...
The World’s Largest Sustainability Database for Food Products Brings Granular Reporting on GHG Emissions to Allow Brands to Track and Reduce their Carbon Footprint HowGood, an independent research company with...
Commission filed 760 enforcement actions and recovered record $6.4 billion in penalties and disgorgement on behalf of investing public The Securities and Exchange Commission today announced that it filed 760...
Trade Coin Club raised money from more than 100,000 investors worldwide The Securities and Exchange Commission today announced charges against Douver Torres Braga, Joff Paradise, Keleionalani Akana Taylor, and Jonathan...
The Securities and Exchange Commission today announced an award of more than $10 million to a whistleblower who provided information and assistance that significantly contributed to a successful SEC enforcement...
The Securities and Exchange Commission today proposed a new rule and rule amendments under the Investment Advisers Act of 1940 to prohibit registered investment advisers from outsourcing certain services and...
The Securities and Exchange Commission voted today to adopt rule and form amendments to require mutual funds and exchange-traded funds to transmit concise and visually engaging shareholder reports and to...
The Securities and Exchange Commission today adopted rules to require securities exchanges to adopt listing standards that require issuers to develop and implement a policy providing for the recovery of...
The Securities and Exchange Commission today announced that California-based Mattel Inc. has agreed to pay $3.5 million to settle charges relating to misstatements in its third and fourth quarter 2017...
The Securities and Exchange Commission today announced insider trading charges against two Canadian software engineers who made $1.6 million by trading ahead of non-public, market-moving financial information. See related articles:...
On September 29, 2022, the Securities and Exchange Commission today charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of an unprecedented amount...
Defendant presented himself as a special forces veteran and Harvard grad to gain investor trust The Securities and Exchange Commission today charged Justin Costello for using a false persona, as...
SEC Chair Gary Gensler has directed the staff to carefully monitor developments as a result of Hurricanes Ian and Fiona. While the safety of local residents is the highest priority,...
Clients selected their own samples and prepared workpapers The Securities and Exchange Commission today charged Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China), the Chinese affiliate of the Deloitte global...
Firms admit to wrongdoing and agree to pay penalties totaling more than $1.1 billion On Tuesday, September 27, 2022, the Securities and Exchange Commission announced charges against 15 broker-dealers and...
Company also Charged for Disclosure Control Failures Involving Mercury Contamination in Brazil On Friday, September 23, 2022, the Securities and Exchange Commission announced settled charges against Compass Minerals International Inc....
Former CEO Agrees to Settle to Same Charges and Pay $1 Million The Securities and Exchange Commission charged The Boeing Company and its former CEO, Dennis A. Muilenburg, with making...
Senior legal analysts explore the latest SEC initiatives around ESG disclosure for asset managers, as well the strident opposition and likely legal challenges the agency’s controversial proposals will encounter As...
Researchers from the SEC’s Office of the Investor Advocate (OIAD) released an independent research study examining the impact of mutual fund performance benchmarks on investor decision-making, and potential strategic behavior by firms...
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