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Tag: SEC
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...
On Monday, September 19, 2022, the Securities and Exchange Commission issued a cease-and-desist order against Sparkster Ltd. and its CEO, Sajjad Daya, for the unregistered offer and sale of crypto...
The Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. The action marks the first...
The Securities and Exchange Commission today proposed rule changes that would enhance risk management practices for central counterparties in the U.S. Treasury market and facilitate additional clearing of U.S. Treasury...
Listed companies will be required to credibly commit to good green governance Companies can dually list alongside their primary exchange Listing standards embed a culture of green compliance directly into...
The Securities and Exchange Commission today announced charges against a number of investment advisers that failed to comply with requirements relating to safekeeping client assets and/or to timely update their...
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