Tag: Securities and Exchange Commission
More Than 75% of U.S. Companies Cite Climate Change as a Material Risk, According to Diligent New research reveals a record number of companies are identifying climate change as a...
The Securities and Exchange Commission adopted rules to enhance and standardize climate-related disclosures by public companies and in public offerings. The final rules reflect the Commission’s efforts to respond to...
The Securities and Exchange Commission (SEC) charged registered investment adviser DWS Investment Management Americas Inc. (DIMA or DWS), a subsidiary of Deutsche Bank AG, in two separate enforcement actions, one...
The Securities and Exchange Commission today proposed amendments to its ethics rules to strengthen and modernize its ethics compliance program. The amendments would add new requirements and prohibitions to the...
The Securities and Exchange Commission today announced an award of more than $28 million to joint whistleblowers who provided critical information and assistance in an SEC enforcement action. The joint...
Defendant, who was arrested and jailed in a federal prison in Puerto Rico, is awaiting transport to NYC on parallel criminal charges The Securities and Exchange Commission today charged Avraham...
The Securities and Exchange Commission today announced three awards totaling approximately $18 million to three whistleblowers whose information and assistance led to a successful enforcement action. The first whistleblower provided...
Fast Food Company Charged for Public Disclosure Violations The Securities and Exchange Commission today charged Stephen J. Easterbrook, former CEO of McDonald’s Corporation, with making false and misleading statements to...
The Securities and Exchange Commission today announced that former federal prosecutor Antonia M. Apps will become Regional Director of the New York Regional Office next month. Thomas Smith and Maurya...
The Securities and Exchange Commission announced charges against Honeywell International Inc. for violations of the Foreign Corrupt Practices Act (FCPA) arising out of bribery schemes that took place in Brazil...
Research Firm CEO Who Interacted with FDA on Company’s Behalf Also Charged The Securities and Exchange Commission today charged Nader Pourhassan, the former CEO of CytoDyn Inc., with fraud and...
Bank Agrees to Pay More than $400 Million to Settle SEC Charges The Securities and Exchange Commission today announced fraud charges against Danske Bank, a multinational financial services corporation headquartered...
The Securities and Exchange Commission today charged venture capital firm Vika Ventures LLC and its CEO and co-founder, George Iakovou, with fraudulently offering and selling more than $6 million of...
The Securities and Exchange Commission today reopened the comment period on proposed amendments intended to modernize and improve the disclosure required about an issuer’s repurchases of its equity securities, often...
Company Agrees to Pay a Record Penalty in Regulation FD Cases of $6.25 Million The Securities and Exchange Commission today announced that AT&T agreed to pay a $6.25 million penalty...
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...
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 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...
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...
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...
The Securities and Exchange Commission today charged Energy Innovation Capital Management, LLC (EIC), a California-based exempt reporting adviser, with charging excess management fees from two venture capital funds. EIC has...
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