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...On Friday the US Securities and Exchange Commission charged Morgan Stanley and its former equity syndicate desk head Pawan Passi with fraud in the conduct of block trading business....
...Nor does it immediately doom efforts by the US Securities and Exchange Commission to bring enforcement actions against some of the industry’s biggest players, including crypto exchanges Coinbase and Binance...
...While the US Securities and Exchange Commission dithers on finalising its disclosure rules, the EU has taken a noticeably more hardline approach in preparing to force companies to disclose on issues such...
...New York-based Better also faced an investigation by the US Securities and Exchange Commission into whether it had violated securities laws following allegations by its former head of sales and operations...
...In March of 2023, the Securities and Exchange Commission lodged a civil fraud complaint against him....
...“They [the Philippines Securities and Exchange Commission] were worried it would end up becoming like GameStop,” Monzon recalled during a recent interview with Nikkei Asia....
...The risk of a Securities and Exchange Commission lawsuit is significant, as a lawyer with long experience of the agency explained to me....
...Crypto tokens are not securities any more than baseball cards or sports bets are. Prosecute fraud, maybe regulate crypto exchanges like casinos, and keep the SEC et al out of it....
...The US Securities and Exchange Commission said it would on Tuesday file separate civil charges relating to Bankman-Fried’s alleged violations of securities laws....
...The Securities and Exchange Commission has notified Coinbase that it is considering enforcement action against the company, according to a document seen by the Financial Times....
...the day-to-day demands of leading the European Commission with remarkable skill and grace and has broken barriers as its first female president....
...Similarly, Securities and Exchange Commission chair Gary Gensler has said that the basic US laws governing securities, exchanges, brokers, funds and advisers, passed in the middle of the past century, should...
...For example, crypto companies are lobbying to ensure cryptocurrencies are regulated by the Commodity Futures Trading Commission, which regulates derivatives, rather than the more hawkish Securities and Exchange...
...The Masimo/Koffey quarrel comes during a particularly heated moment in corporate activism: a new so-called “universal proxy card” rolled out by the US Securities and Exchange Commission has made it easier...
...The US Securities and Exchange Commission has issued a proposal on standardising funds’ ESG disclosures....
...SBF’s fraud began the day it was launched, the US Securities and Exchange Commission said in separate civil charges against the former FTX boss....
...“With rumours of 45bn barrels of reserves, everybody wanted a piece of the cake, and companies were fighting hard,” said Alan Mohtadi, who heads T&S Consulting Energy and Security, which advises companies...
...Meanwhile, the Securities and Exchange Commission in June affirmed the shutdown of online news site Rappler — headed by Duterte critic and Nobel Peace Prize winner Maria Ressa — for allegedly breaching foreign...
...There is for sure a debate to be had about when the Federal Reserve et al should have pivoted their stance more forcefully to tackle inflationary pressures, and what they should and shouldn’t do now....
...But while the FTX chief was suggesting better ways to de-risk financial transactions, his is just the kind of crypto business that Gary Gensler, chair of the Securities and Exchange Commission, is targeting...
...Gallagher served as a commissioner at the US Securities and Exchange Commission for four years to 2015. That experience gave him a sharp understanding of the regulatory issues that face Robinhood....
...If so, why have regulators looked at high-frequency trading and decided not to act? “This is false. Because I’ve talked to the people who ran the SEC [Securities and Exchange Commission]....
...However, the US Securities and Exchange Commission has rejected more than a dozen applications for similar funds in the US....
...Your article “Lax rules allow corporate fat cats to dump stock” (Opinion, December 23) referred to a study by David Larcker et al explaining how the US Securities and Exchange Commission created a special...
...The Securities and Exchange Commission is plotting a crackdown after fining BNY Mellon’s investment adviser division $1.5mn for allegedly misstating and omitting information about ESG investment considerations...
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