- Regulation
- Technology
- Resources
Latest News
-
SEC announces enforcement results for fiscal year 2024
The SEC announced that it collected $8.2 billion in monetary penalties for FY 2024, the highest amount for the fines in the regulator’s history.
-
SEC charges Richmond Federal Reserve supervisor with insider trading
The SEC said Thompson used material nonpublic information to trade in stock and options of at least two publicly-traded banks within his supervisory portfolio.
-
DraftKings charged with selectively disclosing material info on social media
The firm fell foul of Regulation Fair Disclosure.
-
BofA accused by whistleblower of sharing nonpublic information
The bank’s own policy mandates a cooling-off period of two-to-four weeks if bankers speak for any reason to investors that might participate in the deal.
-
SEC cites Sound Point Capital Management for its handling of nonpublic info
The SEC said the fund adviser’s policies failed to consider the potential impact of material nonpublic information gained from serving as company lenders.
-
SEC charges FlowPoint principal for breaching fiduciary duty to private funds
The SEC charged the adviser and principal with making misleading statements to Investors and breaching its fiduciary duties to private funds.
-
First insider trading conviction based on misuse of 10b5-1 trading plans issued
The DOJ described the case as the first it has prosecuted exclusively based on a rule that allows company insiders to create a predetermined plan to sell shares.
-
Trafigura settles with CFTC in first action taken over impediment of whistleblowers
Regulator hopes to send signal after agreeing to a $55m settlement.