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Company: Securities and Exchange Commission

1453 results found

SEC alleges crypto scheme was a Ponzi

NovaTech allegedly took more than US$650 million from investors globally

Fraud

U.S. private equity advisor convicted of fraud

Funds used investor capital to pay distributions

Judge looks at papers

U.S. securities class action filings rise

Crypto claims decline, AI-related cases on the rise

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

SEC charges crypto platform founder

Platform claimed to be decentralized, authorities allege

Crossed fingers

Activist short seller charged with securities fraud

SEC, DoJ allege Citron Research, and its founder, misled investors

Red alert

Much work to be done, CSA year in review shows

Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

Whistleblower

Tipster settles for US$37-million whistleblower award

Tip helped, but SEC rules that compliance staff sparked investigation

confusion

Private credit sector to grow in the dark: Moody’s

SEC's bid for enhanced oversight rejected amid sector's rapid growth

Judge looks at papers

A rocky road ahead for U.S. regulators

Recent SCOTUS rulings curbing agencies' power has financial industry implications: Moody's

Bitcoin cryptocurrency with a pile of coins and smartphone, Vector illustrator

Crypto bank sanctioned for alleged oversight failures

SEC, Fed penalize FTX's bank, Silvergate, executives