Tag: Securities and Exchange Commission

JPMorgan Chase, has been hit with a $4m fine from the Securities and Exchange Commission (SEC) for the inadvertent deletion of 47 million emails.

The Securities and Exchange Commission has allocated 20 new positions to the unit focused on protecting investors in crypto markets and from cyber-related threats.

The Securities and Exchange Commission has awarded two separate whistleblowers a total of almost $3m.

The US' top financial market regulator has filed a complaint in federal court for the Eastern District of New York, accusing a New Yorker of conducting a $2.1m fraud out of at least two boiler rooms over six months in 2018 and 2019.

The Securities and Exchange Commission has awarded over $6m to joint whistleblowers whose information and assistance led to the successful enforcement of SEC and related actions.

The Securities and Exchange Commission has voted to potentially change the rules governing the securities market.

The US's top financial markets watchdog has issued a new policy statement outlining how European traders can become authorised to operate stateside.

The US top market regulator has awarded $900,000 to a whistleblower who identified securities law violations overseas.

The US top financial regulator has awarded a whistleblower with over $10m for their role in a successful investigation.

Chat app developer Kik Interactive has entered into a settlement with the Securities and Exchange Commission for the unlawful sale tokens in 2017 and has agreed to pay $5m in fines.