Tag: Securities and Exchange Commission

The Securities and Exchange Commission Division of Examinations has published its Fiscal Year 2026 Examination Priorities, offering a clear indication of where regulatory attention...

The Securities and Exchange Commission (SEC) has unveiled a revised regulatory framework designed to strengthen corporate transparency and improve the accuracy and timeliness of...

Bribery and corruption pose some of the most significant threats to the integrity of global business operations in the modern day. 

The UK Financial Conduct Authority (FCA) has published a policy statement confirming the final rules under the Sustainability Disclosure Requirements (SDR) and investment labels...

In an era where regulatory oversight of the wealth and asset management sector is intensifying globally, the stakes for compliance have never been higher. This sector, pivotal to national economies, plays a crucial role in helping consumers manage their assets and achieve their financial goals. However, its significance also makes it a potential target for misuse by malicious entities aiming to launder money.

In 2023, the global regulatory landscape unveiled a startling revelation as fines imposed by authorities exceeded a colossal $10.5bn. This figure not only reflects the stringent enforcement actions but also spotlights the emerging areas of regulatory scrutiny.

In recent years, United States financial regulators have established themselves as global leaders in enforcement. In 2022, they imposed $3bn in fines, nearly three quarters of the world’s $4.2bn total. 2023 continued this trend, with US financial institutions paying 83% ($157.26m) of total penalty dollars, a stark contrast to their 10% share in global regulatory violations.

BIO-key International, an avant-garde in workforce and customer Identity and Access Management (IAM) solutions, recently announced the pricing details of its latest public offering.

Goldman Sachs & Co. has settled charges with the Securities and Exchange Commission (SEC) for neglecting to supply comprehensive and precise securities trading details, otherwise known as blue sheet data. The prominent financial institution has consented to a penalty of $6m to conclude the SEC's allegations.

The SEC adopted new rules this week requiring public firms to disclose all cyber breaches that could affect their bottom lines within four days.