277 Results from "Securities and Exchange Commission (SEC)"
/regulation
The Securities and Exchange Commission is widening its probe into Wall Street's use of WhatsApp for conducting business to include major hedge funds, according to Bloomberg.
06 February 2023
American regulatory authority, the Securities and Exchange Commission (SEC) charged crypto asset platform Nexo $45 million in penalties for the unauthorised sale of a crypto lending product.
20 January 2023
/crypto
The Securities and Exchange Commission (SEC) has charged digital asset trading firms, Genesis and Gemini, with offering and selling unregistered securities.
13 January 2023
Celebrity Kim Kardashian has been slapped with a $1.26 million charge by the Securities and Exchange Commission for touting a crypto asset security without disclosing the $250,000 pay out she got for the promotion.
03 October 2022
The US Securities and Exchange Commission (SEC) has charged Barclays Bank PLC and Barclays PLC for the unauthorised sale of securities.
30 September 2022
16 of Wall Street’s largest financial institutions been charged to pay a combined $1.1 billion to US regulators for not monitoring unauthorised employee messaging, announced the Securities and Exchange Commission (SEC) on Tuesday.
28 September 2022
The Securities and Exchange Commission (SEC) has announced settled charges requiring Oracle to pay $23 million, following the company’s violation of provisions in the Foreign Corrupt Practices Act (FCPA).
/security
Morgan Stanley Smith Barney (MSSB) has been slapped with a $35 million penalty for failing to protect the personal identifying information (PII) of about 15 million customers.
20 September 2022
New accounting guidance from the US Securities and Exchange Commission (SEC) has thrown a spanner in banks’ cryptocurrency projects.
16 September 2022
The Securities and Exchange Commission has charged three people with illegally tipping and trading in the securities of Equifax in advance of the firm's announcement about a massive 2017 data breach.
17 August 2022
The US Securities and Exchange Commission (SEC) has launched an investigation into whether Coinbase let customers trade digital assets that should have been registered as securities, according to Bloomberg.
26 July 2022
Coinbase has hit out at the SEC after the regulator insisted that some of the crypto assets involved in an alleged insider trading scheme involving a former employee of the firm were securities.
22 July 2022
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