11 February 2016

Latest articles for Securities and Exchange Commission (SEC)

 

SEC reaches dark pool settlements with Barclays and Credit Suisse

01 February 2016  |  1617 views  |  0 Company announcement

The Securities and Exchange Commission yesterday announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC have agreed to settle separate cases finding that they violated federal securities laws while operating alternative trading systems known as dark pools and Credit Suisse’s Light Pool.

 

SS&C gets SEC approval for SSCNet

10 December 2015  |  1721 views  |  0 Company announcement

SS&C Technologies Holdings, Inc. (Nasdaq:SSNC), a global provider of financial services software and software-enabled services, today announced it has received approval from the Securities and Exchange Commission (SEC) to bring its disruptive cloud-based, post-trade matching service, SSCNet to the U.S. market.

 

SEC charges bitcoin mining companies

02 December 2015  |  1899 views  |  0 Company announcement

The Securities and Exchange Commission today charged two Bitcoin mining companies and their founder with conducting a Ponzi scheme that used the lure of quick riches from virtual currency to defraud investors.

 

Goldman Sachs compliance staffer charged with insider trading

26 November 2015  |  4915 views  |  0 News

A former Goldman Sachs staffer has been charged by the Securities and Exchange Commission with making nearly half a million dollars by stealing non-public information from the bank's email system and using it to make illegal trades ahead of client mergers.

 

SEC proposes rules to enhance transparency and oversight of alternative trading systems

19 November 2015  |  1226 views  |  0 Company announcement

The Securities and Exchange Commission today announced it has voted to propose rules to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade stocks listed on a national securities exchange (NMS stocks), including “dark pools.”

 

SEC flash crash exec joins Ernst & Young

06 October 2015  |  2016 views  |  0 Company announcement

EY announced today that Gregg Berman, formerly of the US Securities and Exchange Commission (SEC) Trading and Markets Division, has joined the Financial Services Organization (FSO) of Ernst & Young LLP as a Principal focusing on market risk and data analytics.

 

SEC expands use of Palantir big data software to catch insider traders - Reuters

01 October 2015  |  5910 views  |  0 News

The Securities and Exchange Commission has struck a five year, $90 million contract with big data outfit Palantir Technologies to help it sniff out insider trading, according to Reuters.

 

SEC reaches $30m settlement over press release hacking case

16 September 2015  |  4781 views  |  0 News

A Ukrainian investment banking firm and its CEO have agreed to pay $30 million to settle SEC charges that they profited from trading on information hacked from newswire services.

 

SEC fines Citigroup for compliance and surveillance failures

19 August 2015  |  2666 views  |  0 Company announcement

The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to settle charges that it failed to enforce policies and procedures to prevent and detect securities transactions that could involve the misuse of material, nonpublic information.

 

ITG pays $20.3m to settle SEC dark pool charges

12 August 2015  |  3326 views  |  0 News

Execution broker ITG and its affiliate AlterNet Securities have agreed to pay $20.3 million to settle SEC charges that they operated a secret dealing desk and misused the confidential trading information of dark pool subscribers.

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