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SEC charges BNY Mellon Investment Adviser for ESG deficiencies
The SEC has charged BNY Mellon Investment Adviser for misstatements and omissions on ESG considerations regarding investment decisions for certain mutual funds it managed.
SEC proposes rule changes on climate-related disclosures for investors
The US Securities and Exchange Commission has put forward rule changes to require registrants to include certain climate-related disclosures in their statements and reports.
SEC suggests rule amendments to enhance and standardise disclosures
The Securities and Exchange Commission (SEC) has proposed rule amendments to enhance and standardise disclosure regard cyber risk management, strategy, governance and incident reporting by public firms.
SEC charges sibling fraudsters for $124m crypto fraud operation
The Securities and Exchange Commission (SEC) has charged siblings John and Tina Barksdale with defrauding thousands of retail investors out of over $124m.
SEC charges former Infinity Q Capital CIO with fraud claims
The US Securities and Exchange Commission (SEC) has charged James Velissaris, the former founder and chief investment officer of Infinity Q Capital Management, with overvaluing assets by more than $1bn while pocketing tens of millions of dollars in fees.
SEC punishes JPMorgan for recordkeeping failures with $125m fine
The Securities and Exchange Commission (SEC) has fined JPMorgan $125m due to ‘widespread and longstanding failures’ by the bank to maintain and preserve written communications.
SEC fines Poloniex $10m for operating unregistered crypto exchange
The US Securities and Exchange Commission (SEC) has slapped a $10m fine on crypto firm Poloniex for operating an unregistered cryptocurrency exchange.
SEC charges two men for allegedly misleading consumers with sales of...
The US Securities and Exchange Commission (SEC) has charged two men and their Cayman Islands-based company for unregistered sales of over $30m of securities through smart contracts and decentralised finance (DeFi) technology.
SEC chair highlights US cryptocurrency regulation shortfalls
The Securities and Exchange Commission (SEC) chair has outlined gaps in US regulation of cryptocurrencies that could cause investor risk and financial crime concerns.
Sentieo closes $20m Series B after a strong 2020
Sentieo has bagged $20m in its Series B round, which comes off the heels of record revenue in 2020.