Tag: Securities and Exchange Commision
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 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.
SEC rewards three whistleblowers for helping stop securities fraud
The US Securities and Exchange Commission (SEC) has financially rewarded three individuals for submitting a tip which alerted the regulator to fraud scheme targeting retail investors.
