Tag: SEC

The devastating wildfires that erupted in California in early January, compounded by severe rainstorms and mudslides, have left lasting destruction on individuals and communities.

Robinhood has agreed to a substantial $45m settlement with the SEC over various breaches of securities law.

The Philippine SEC is introducing new guidelines aimed at fostering sustainable investment in the country.

In the current geopolitical climate, the regulatory landscapes in the EU and US are increasingly focused on the management of communication data and record-keeping.

NAV lending, a financing mechanism that allows private equity funds to borrow against their net asset value (NAV), is gaining attention as an alternative to traditional bank loans.

The U.S. SEC has released its Examination Priorities for the fiscal year 2025, offering a detailed guide for CCOs to evaluate and enhance their compliance frameworks.

CoreNest Capital, a venture capital firm specialising in financial innovations, has announced a strategic investment in Texture Capital Holdings.

Corlytics has released its regulatory enforcement data for Q3, showcasing a surge in regulatory actions, record fines, and a stronger emphasis on senior staff conduct.

In today’s rapidly shifting financial landscape, it’s critical for investment advisors to fully understand their clients’ investments in digital assets.

Kaizen has successfully completed its first external funding round, securing a £42m investment from Guidepost Growth Equity. This marks a significant milestone for the...