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Tag: Securities and Exchange Commission (SEC)
The US's top financial markets watchdog has issued a new policy statement outlining how European traders can become authorised to operate stateside.
A top financial markets watchdog has voted to adopt amendments that will modernise, simplify and enhance certain financial disclosure requirements in Regulation S-K.
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...
The US Securities and Exchange Commission (SEC) has voted to amend its definition of accredited investors, meaning more people will soon be eligible to enter the private capital market.
Telegram's battle with the American authorities has ended with the social media app agreeing to pay back all the proceeds made from its cryptocurrency project and to pay a hefty fine.
A penny stock trader is facing fraud allegations that could see him slammed by permanent injunctions, civil money penalties, a penny stock bar, and disgorgement with prejudgment interest.
From: RegTech Analyst Los Angeles-based private equity firm Ares Management has been forced by the Securities and Exchange Commission (SEC) pay $1m to settle...
Blockchain services company BitClave has agreed to pay back the proceeds of its unregistered initial coin offering (ICO) and settling charges brought on by the Securities and Exchange Commission (SEC).
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