Tag: SEC
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.
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?
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