Tag: SEC
Gensler claims SEC considering climate disclosure rule adjustments
Gary Gensler, the chair of the US SEC, has said the SEC is considering adjusting its climate risk disclosure rules for public firms.
SEC set to examine ESG investing as a priority focus
The US Securities and Exchange Commission (SEC) has revealed that ESG investing will be a key focus in its Division of Examinations in 2023.
SEC slaps Nexo with $45m fine
The Securities and Exchange Commission has charged Nexo with failing to register the offer and sale of its retail crypro asset product the Earn Interest Product.
SEC charges Genesis and Gemini for unregistered crypto offer and sale
The SEC has charged Genesis and Gemini for the unregistered offer and sale of securities to retail investors through the Gemini Earn crypto asset lending program.
SEC slaps Goldman Sachs Asset Management with $4m fine
The Securities and Exchange Commission (SEC) has charged Goldman Sachs Asset Management for false advertisement of funds and account strategies.
SEC slaps Koppers with $1.3m fine
The Securities and Exchange Commission (SEC) has settled charges against Koppers Holdings for failure to disclose material information.
SEC slaps real estate firm with $600m fine for ponzi scheme
The Securities and Exchange Commission (SEC) has charged National Reality Investment Advisors and four of its former execs for running a ‘ponzi-like scheme’.
Recordkeeping failures in eComms costing large companies over $1.1bn
A sweep by the Securities and Exchange Commission (SEC) has found several companies are failing to capture certain business communications.
Kim Kardashian given $1.26m fine for crypto promotion
Kim Kardashian has been given a $1.26m charge by the SEC for promoting a crypto asset without disclosing the pay-out she received for it.
Barclays agrees to $361m settlement with the SEC
The Securities and Exchange Commission (SEC) has slapped Barclays and Barclays Bank with a total fine of $361m for controls failures.
