News, Comment & Analysis results for Securities and Exchange Commission

Technology
9 November 2017

Cyprus Securities Watchdog Bets Big On Blockchain

The Cypriot regulator is the latest to say it is looking to utilise the nascent technology....

New Products
6 March 2017

SEC To Decide On Bitcoin ETF Within Days

Officials from the prominent US regulator met with Tyler and Cameron Winklevoss last month to...

Compliance
22 December 2016

Trio Of Law Firms Spark Transatlantic Whistleblower Initiative

To date, the Securities and Exchange Commission has granted more than $110 million in awards to...

Compliance
15 April 2014

SEC Charges More Individuals Involved In Fraudulent "Kickback" Scheme At Venezuelan Bank

The US SEC has announced more charges in its case against individuals involved in a kickback scheme...

Legal
16 December 2013

London Hedge Fund Firm Pays SEC $9 Million Over Claims Of Overvaluing Assets

GLG Partners, the London-based hedge fund firm owned by Man Group, and a former holding company...

Legal
16 December 2013

GLG Pays SEC $9 Million Over Claims Of Overvaluing Assets

GLG Partners, the London-based hedge fund firm owned by Man Group, and a former holding company...

Legal
9 December 2013

SEC Charges Two Texas-Based Investment Advisors Over Alleged $18 Million Ponzi Scheme

SEC Charges Two Texas-Based Investment Advisors Over Alleged $18 Million Ponzi...

Legal
6 December 2013

SEC Charges Fifth Third Bancorp For Improper Accounting Of Loan Losses During Financial Crisis

Cincinnati-based Fifth Third Bank has agreed to pay $6.5 million to settle charges brought about by...

Uncategorised
29 November 2013

SEC Charges Detroit-Based Money Market Fund Manager With Fraud

The Securities and Exchange Commission has declared fraud charges against a Detroit-based...

Compliance
29 October 2013

SEC Charges Three Firms For Violating Custody Rule

Three investment firms have been sanctioned by the US Securities and Exchange Commission for...