Tag: SEC
SEC slaps Oracle with $23m fine
The Securities and Exchange Commission (SEC) will require Oracle to pay $23m in fines due to foreign corruption charges.
SEC guidelines set to hamper banks’ crypto projects
New accounting guidance from the US Securities and Exchange Commission (SEC) has potentially hamstrung banks’ crypto projects, Finextra has claimed.
What are the implications of SEC’s strategic plan?
The US Securities and Exchange Commission has recently outlined its three-year strategic plan for fiscal 2022-2026. What will the plan involve?
5 US investment banks face $1bn in fines
Five US investment bank giants are reportedly faced with $1bn in fines for failing to monitor employees using unauthorised messaging apps.
Morgan Stanley to shell out $200m to resolve record-keeping probe
Morgan Stanley has agreed to pay $200m to US regulators SEC and CFTC to resolve investigations into its record-keeping practices, according to Reuters.
SEC charges numerous firms for identity theft prevention deficiencies
The SEC has separately charged JP Morgan Securities, UBS Financial Services and TradeStation for deficiencies relating to the prevention of customer identity theft.
Charles Schwab agrees to pay $187m following robo-advisor investigation
Charles Schwab has agreed to pay $187m to settle an investigation by the Securities Exchange Commission into hidden fees charged by the firm’s robo-advisor.
SEC proposes changes to ESG investment practices
The US Securities and Exchange Commission (SEC) has proposed changes to rules and reporting around environmental, social, and governance (ESG) investment practices.
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.
