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Europe's Economic Crossroads: Recession Fears and S&P Global's
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US SEC
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Institutional FX
US SEC Recovers Record $6.4bn in Penalties and Disgorgement in FY22
The number of recovered funds shot up 67% from the prior year's $3.9 billion.
The SEC paid a record $229 million to whistleblowers in FY22.
Wednesday, 16/11/2022 | 03:24 GMT
by
Solomon Oladipupo
Regulation
US SEC Awards $10M to Whistleblower Months after Programme Amendment
The regulator has issued a number of whistleblower awards in 2022.
It announced two amendments to its whistleblower programme in late August.
Monday, 31/10/2022 | 19:51 GMT
by
Solomon Oladipupo
CryptoCurrency
US SEC Probes Yuga Labs to Determine If Bored Ape NFTs Are Securities
Yuga Labs has not been accused of any wrongdoing.
The firm has reportedly pledged to cooperate with the regulator.
Wednesday, 12/10/2022 | 13:10 GMT
by
Solomon Oladipupo
Institutional FX
FINRA Penalizes UBS Securities $2.5M for 73,000 ‘Naked’ Short Sales
The violations occurred between 2009 and 2018.
The US SEC recently fined UBS Securities $125 million alongside 14 other broker-dealers.
Wednesday, 05/10/2022 | 10:58 GMT
by
Solomon Oladipupo
Institutional FX
16 Wall Street Firms to Pay $1.1B for 'Off-Channel Communications'
The firms include Barclay Capital, BofA, Citigroup and Goldman Sachs, among others.
The violation happened between January 2018 and September 2021.
Wednesday, 28/09/2022 | 00:00 GMT
by
Solomon Oladipupo
Regulation
Oracle to Pay $23M to Settle Bribery Charges against Asian Subsidiaries
The US SEC fingered Oracle's subsidiaries in Turkey, UAE and India in its investigation.
The regulator penalized Oracle $2 million in 2012 for the same offence.
Tuesday, 27/09/2022 | 18:24 GMT
by
Solomon Oladipupo
Retail FX
US SEC Records First Case of Broker-Dealer Municipal Advisor Violation
The regulator fined Loop Capital Markets $100k.
The broker-dealer advised a city on fixed income securities without being registered.
Wednesday, 14/09/2022 | 22:50 GMT
by
Solomon Oladipupo
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