Tag: SEC

The US Securities and Exchange Commission has put forward rule changes to require registrants to include certain climate-related disclosures in their statements and reports.

The US Securities and Exchange Commission (SEC) has charged James Velissaris, the former founder and chief investment officer of Infinity Q Capital Management, with overvaluing assets by more than $1bn while pocketing tens of millions of dollars in fees.

The Securities and Exchange Commission (SEC) has fined JPMorgan $125m due to ‘widespread and longstanding failures’ by the bank to maintain and preserve written communications.

The US Securities and Exchange Commission (SEC) has slapped a $10m fine on crypto firm Poloniex for operating an unregistered cryptocurrency exchange.

The US Securities and Exchange Commission (SEC) has charged two men and their Cayman Islands-based company for unregistered sales of over $30m of securities through smart contracts and decentralised finance (DeFi) technology.

The Securities and Exchange Commission (SEC) chair has outlined gaps in US regulation of cryptocurrencies that could cause investor risk and financial crime concerns.

Sentieo has bagged $20m in its Series B round, which comes off the heels of record revenue in 2020.

Sports apparel company Under Armour has settled with the Securities and Exchange Commission (SEC) and agreed to pay $9m in fines related to misleading its revenue growth to investors from the third quarter of 2015 through the fourth quarter of 2016.

Remittance firm MoneyGram suspends trading on Ripple’s payment platform, RippleNet, citing the ongoing $1.3bn lawsuit filed by the U.S. Securities and Exchange Commission (SEC).

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