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SEC

JPMorgan

J.P. Morgan to Pay $267 Million for Disclosure Failures

21/12/2015(0)
The Securities and Exchange Commission announced that two J.P. Morgan wealth management subsidiaries have agreed to pay $267 million and admit wrongdoing to settle charges that they failed to disclose ... Read More
etf-trading

NSX Is Approved by the SEC to Re-Launch Trading Operations

21/12/2015(0)
NSX Plan for Phased Roll-Out On December 14, 2015, the Securities and Exchange Commission (“SEC”) issued an order granting NSX final approval to re-launch and resume operations for equity ... Read More
jpmorgan

JPMorgan Said to Win Relief in SEC Case on Sale of Its Own Funds

10/12/2015(0)
Bank to get consent to continue raising money for hedge funds SEC, CFTC may announce settlements with bank as soon as Friday JPMorgan Chase & Co. is close to ... Read More
Grant Thornton logo

SEC: Grant Thornton Ignored Red Flags in Audits

03/12/2015(0)
The Securities and Exchange Commission announced that national audit firm Grant Thornton LLP and two of its partners agreed to settle charges that they ignored red flags and fraud risks ... Read More
bloomberg

Bloomberg Receives SEC Approval for its Confirmation Matching Service

02/12/2015(0)
Bloomberg today announced its subsidiary, Bloomberg STP LLC (Bloomberg STP), has received approval from the U.S. Securities and Exchange Commission (SEC) to offer a confirmation matching service (CMS), for ... Read More
bitcoin-cryptocurrency

Over 10,000 people were duped by Bitcoin mining startup, feds say

02/12/2015(0)
SEC: Josh Garza and GAW Miners “robbed one investor to pay another.” On Wednesday, the Securities and Exchange Commission sued the founder of a now-shuttered Bitcoin mining company, alleging that it ... Read More
SEC_logo

SEC Charges Bitcoin Mining Companies

02/12/2015(0)
The Securities and Exchange Commission today charged two Bitcoin mining companies and their founder with conducting a Ponzi scheme that used the lure of quick riches from virtual currency ... Read More
sec-logo

Standard Bank to Pay $4.2 Million to Settle SEC Charges

01/12/2015(0)
Bank Agrees to $36.9 Million Global Settlement with the SEC and the U.K.’s Serious Fraud Office The Securities and Exchange Commission today charged Standard Bank Plc with failing to ... Read More
sec-logo

Former Goldman Employee Charged With Insider Trading Before Mergers

26/11/2015(0)
The Securities and Exchange Commission announced insider trading charges against a former Goldman Sachs employee accused of stealing nonpublic information in the firm’s e-mail system so he could trade ... Read More
sec-logo

SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems

20/11/2015(0)
The Securities and Exchange Commission today announced it has voted to propose rules to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade stocks listed ... Read More
Broker Cyprus TopFX