Tag: SEC

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.

The US Securities and Exchange Commission (SEC) has proposed changes to rules and reporting around environmental, social, and governance (ESG) investment practices.

The SEC has charged BNY Mellon Investment Adviser for misstatements and omissions on ESG considerations regarding investment decisions for certain mutual funds it managed.

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.

The Securities and Exchange Commission (SEC) has proposed rule amendments to enhance and standardise disclosure regard cyber risk management, strategy, governance and incident reporting by public firms.

The Securities and Exchange Commission (SEC) has charged siblings John and Tina Barksdale with defrauding thousands of retail investors out of over $124m.

The US Securities and Exchange Commission (SEC) has charged James Velissaris, the former founder and chief investment officer of Infinity Q Capital Management, with overvaluing assets by more than $1bn while pocketing tens of millions of dollars in fees.

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.

The US Securities and Exchange Commission (SEC) has slapped a $10m fine on crypto firm Poloniex for operating an unregistered cryptocurrency exchange.

The US Securities and Exchange Commission (SEC) has charged two men and their Cayman Islands-based company for unregistered sales of over $30m of securities through smart contracts and decentralised finance (DeFi) technology.