Tags SEC

Tag: SEC

Securities and Exchange Commission proposes stronger cybersecurity rules

The SEC has proposed new requirements to a number of key industry stakeholders to address cybersecurity risks.

Gensler claims SEC considering climate disclosure rule adjustments

Gary Gensler, the chair of the US Securities and Exchange Commission, has said the SEC is considering adjusting its climate risk disclosure rules for public firms.

SEC set to examine ESG investing as a priority focus

The US Securities and Exchange Commission (SEC) has revealed that ESG investing will be a key focus in its Division of Examinations in 2023.

SEC slaps Nexo with $45m fine

The Securities and Exchange Commission has charged Nexo with failing to register the offer and sale of its retail crypro asset product the Earn Interest Product.

SEC charges Genesis and Gemini for unregistered crypto offer and sale

The SEC has charged Genesis and Gemini for the unregistered offer and sale of securities to retail investors through the Gemini Earn crypto asset lending program.

The regulations to keep an eye on in 2023

As we slowly make our way into the New Year, 2023 is shaping up to be a big year for the introduction of new...

SEC slaps Goldman Sachs Asset Management with $4m fine

The Securities and Exchange Commission (SEC) has charged Goldman Sachs Asset Management for false advertisement of funds and account strategies. 

SEC slaps Koppers with $1.3m fine

The Securities and Exchange Commission (SEC) has settled charges against Koppers Holdings for failure to disclose material information.

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.

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.

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