Firm was victim of Hollywood scam, gets credit for prompt remediation
Penalties top $5 billion, Grewal seeks 'three e's'
The SEC announced Oct. 19 its third enforcement action of the year involving violations of the short selling trading rule
EU watchdog confirms efforts are still underway and that ongoing revision to existing EU directive could provide another route to address misleading fund names.
'I worry that this market is becoming riskier in ways that regulators have not yet fully considered,' Crenshaw says
'There are still a few levers to pull' aside from a hedge clause
Federal, state and local officials, some foreign governments and financial institutions may have access to the Treasury Department’s beneficial ownership database, FinCEN says in newly ...
Firm required departing employees to affirm they hadn't spoken to regulators, SEC claims
Welsh, Carson vows to fight suit: 'We are proud of our investment'
Case comes less than a month after SEC doubles down on accelerated monitoring fees