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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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