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SEC slaps real estate firm with $600m fine for ponzi scheme
The Securities and Exchange Commission (SEC) has charged National Reality Investment Advisors and four of its former execs for running a ‘ponzi-like scheme’.
Recordkeeping failures in eComms costing large companies over $1.1bn
A sweep by the Securities and Exchange Commission (SEC) has found several companies are failing to capture certain business communications.
Kim Kardashian given $1.26m fine for crypto promotion
Kim Kardashian has been given a $1.26m charge by the SEC for promoting a crypto asset without disclosing the pay-out she received for it.
Barclays agrees to $361m settlement with the SEC
The Securities and Exchange Commission (SEC) has slapped Barclays and Barclays Bank with a total fine of $361m for controls failures.
SEC slaps Oracle with $23m fine
The Securities and Exchange Commission (SEC) will require Oracle to pay $23m in fines due to foreign corruption charges.
SEC guidelines set to hamper banks’ crypto projects
New accounting guidance from the US Securities and Exchange Commission (SEC) has potentially hamstrung banks’ crypto projects, Finextra has claimed.
What are the implications of SEC’s strategic plan?
The US Securities and Exchange Commission has recently outlined its three-year strategic plan for fiscal 2022-2026. What will the plan involve?
5 US investment banks face $1bn in fines
Five US investment bank giants are reportedly faced with $1bn in fines for failing to monitor employees using unauthorised messaging apps.
Morgan Stanley to shell out $200m to resolve record-keeping probe
Morgan Stanley has agreed to pay $200m to US regulators SEC and CFTC to resolve investigations into its record-keeping practices, according to Reuters.
SEC charges numerous firms for identity theft prevention deficiencies
The SEC has separately charged JP Morgan Securities, UBS Financial Services and TradeStation for deficiencies relating to the prevention of customer identity theft.
