Tags SEC

Tag: SEC

Fund manager charged for defrauding retail investors to the tune of...

A fund manager has been accused of having defrauded retail investors by coercing them to invest $58m in two funds, despite having zero investment experience, the Securities and Exchange Commission alleged.

Deutsche Bank pays $120m to settle SEC corruption charges

Deutsche Bank has agreed to pay $120m in order to settle charges of having violated the Foreign Corrupt Practices Act.

Sigma Ratings welcomes new US anti-money laundering law

Following the intense scrutiny of the FinCEN Files, US lawmakers have introduced new legislation to fight money laundering.

SEC awards more than $6m to whistleblowers

The Securities and Exchange Commission has awarded over $6m to joint whistleblowers whose information and assistance led to the successful enforcement of SEC and related actions.

SEC offers EU traders clearer path to register in the US

The US's top financial markets watchdog has issued a new policy statement outlining how European traders can become authorised to operate stateside.

SEC proposal could see gig workers get up to 15% of...

The US Securities and Exchange Commission (SEC) has reportedly proposed a measure that would allow gig workers to get up to 15% of their compensation in stock.

SEC awards $900,000 to whistleblower

The US top market regulator has awarded $900,000 to a whistleblower who identified securities law violations overseas.

The SEC introduces new rule to make it easier for foreign...

The Securities and Exchange Commission (SEC) has published a notice of a substituted compliance application by Germany’s top financial regulator.

SEC awards over $10m to whistleblower

The US top financial regulator has awarded a whistleblower with over $10m for their role in a successful investigation.

Kik Interactive fined $5m for unlawful tokens sale

Chat app developer Kik Interactive has entered into a settlement with the Securities and Exchange Commission for the unlawful sale tokens in 2017 and has agreed to pay $5m in fines.

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