Tag: Securities and Exchange Commission (SEC)

SEC to expand crypto, cyber enforcement unit with new appointments

The Securities and Exchange Commission has allocated 20 new positions to the unit focused on protecting investors in crypto markets and from cyber-related threats.

SEC suggests rule amendments to enhance and standardise disclosures

The Securities and Exchange Commission (SEC) has proposed rule amendments to enhance and standardise disclosure regard cyber risk management, strategy, governance and incident reporting by public firms.

SEC charges sibling fraudsters for $124m crypto fraud operation

The Securities and Exchange Commission (SEC) has charged siblings John and Tina Barksdale with defrauding thousands of retail investors out of over $124m.

SEC punishes JPMorgan for recordkeeping failures with $125m fine

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.

SEC fines Poloniex $10m for operating unregistered crypto exchange

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

SEC warns against misleading projections by companies going public via SPAC

US regulator warned that companies going public through special purpose acquisition companies (SPAC) deals must refrain from publishing misleading statements about their potential growth.

Five whistleblowers awarded $3m in total from the SEC

The Securities and Exchange Commission to award five whistleblowers $3m in total for information provided in three different enforcement actions.

SEC offers EU traders clearer path to register in the US

The US's top financial markets watchdog has issued a new policy statement outlining how European traders can become authorised to operate stateside.

SEC votes to simplify financial disclosure requirements

A top financial markets watchdog has voted to adopt amendments that will modernise, simplify and enhance certain financial disclosure requirements in Regulation S-K.

The SEC introduces new rule to make it easier for foreign...

From: RegTech Analyst The Securities and Exchange Commission (SEC) has published a notice of a substituted compliance application by Germany’s top financial regulator. Substituted compliance...

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