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The funds would have been linked to the price of non-US companies such as Saudi Aramco and Alibaba
UK lender offered ‘unprecedented’ amount of unregistered securities for sale, US regulator says
Regulator charges Big Four firm affiliate $20mn for falling ‘woefully short’ of standards
It is to be hoped a sizeable collective punishment cleans up a dark practice in finance
Eleven groups including Goldman Sachs, Morgan Stanley agree to US penalties for ‘off-channel’ communications
Sandwich shop became symbol of stock market exuberance after being singled out by David Einhorn
Former chief Muilenburg also fined by SEC after statements on pair of deadly crashes
Action against Cheetah Mobile follows FT investigation that highlighted share sales made ahead of poor earnings
SEC urged to shake up rulemaking body that ‘has not kept pace’ with business
Lenders fear lawsuits if they stick with Gfanz
Regulator fines lender’s wealth management business $35mn for failing to protect customer data
‘There’s so much in flux right now in terms of rules that everybody is probably a bit vulnerable’
US regulator supports new rules to help increase resiliency in a market that underpins global financial system
SEC investigation sparks questions about how banks monitor communications in an era of disappearing messages
Boss’s remuneration will be juxtaposed against total shareholder returns of the company and peers in a new table in proxy statements
The MAGA, Vice and BAD ETFs would be impacted by ESG Funds and Names Rule changes, if adopted
Agreement gives US regulators access to Chinese accounts in effort to keep listings on New York exchanges
Agreement would let Public Company Accounting Oversight Board examine NY-listed Chinese groups
Feedback on US regulator’s proposal includes concerns about companies being forced to be more active or passive
Wall Street’s top cop has been using traditional finance rules to police industry
US regulator says Forsage programme raised $300mn by ‘aggressively’ marketing to global investors
Chinese tech group was added to a US register of companies facing delisting in 2024
Ex-congressman among nine defendants cited by federal prosecutors for insider trading schemes
That means you can, in fact, get in trouble for insider-trading them
US securities regulator asks why Tesla chief did not notify investors before saying deal ‘cannot move forward’ over bots
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