Search Results | Showing 11 - 20 of 129 results for "The Securities and Exchange Commission" |
| | | ... Blackstone, KKR, and Carlyle are among the private equity firms that will collectively pay the Securities and Exchange Commission (SEC) US$63.1 million for failing to keep appropriate communications records. They join a growing list of financial institutions ... |
| | | | The Securities and Exchange Commission (SEC) has charged former Western Asset co-chief investment officer Ken Leech for "engaging in a multi-year scheme to allocate favourable trades to certain portfolios." The SEC alleges Leech engaged in the conduct ... |
| | | | Gary Gensler, the chair of the Securities and Exchange Commission (SEC), will leave the regulator on January 20. The SEC has announced Gensler will depart at midday on 20 January 2025, coinciding with the commencement of President-elect Donald Trump's ... |
| | | | Invesco Advisers was charged by the Securities and Exchange Commission (SEC) after it was found to have misled investors as to what proportion of its total assets were invested according to ESG principles. Invesco Advisers was charged with willfully ... |
| | | | ... will pay a combined $230 million (US$151m) to settle four separate enforcement actions by the Securities and Exchange Commission (SEC). In a fifth action, the SEC opted not to issue a fine. The SEC found that JPMS made misleading disclosures to brokerage ... |
| | | | ... Mellon are among the firms that will collectively pay a whopping US$390 million ($589m) to the Securities and Exchange Commission (SEC) for recordkeeping failures. RBC Capital Markets will pay US$45 million ($68m) while BNY Mellon Securities Corporation ... |
| | | | ... than 2000 investors' retirement savings spent on luxury yachts, private jets and more. The Securities and Exchange Commission (SEC) obtained a preliminary injunction, asset freeze, and other emergency relief against Atlanta-based Drive Planning LLC ... |
| | | | The Securities and Exchange Commission (SEC) has given final and official approval Ethereum ETFs, making it the second digital asset ETF to hit US markets after Bitcoin ETFs were launched in March this year. Back in May, the SEC approved eight Ethereum ... |
| | | | The Securities and Exchange Commission (SEC) has approved eight Ethereum ETFs for BlackRock, Fidelity, Grayscale, Bitwise, VanEck, Ark, Invesco Galaxy and Franklin Templeton. This comes after the commission approved Bitcoin ETFs back in March this year. ... |
| | | | ... Authority (FCA) approving crypto ETNs this week and spot Bitcoin ETFs being approved by the Securities and Exchange Commission (SEC) in the US in January. Financial behemoths BlackRock, Invesco and Fidelity were among 11 spot Bitcoin ETF issuers that ... |
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