Tag: SEC

Regulation June 3, 2020

Ares Management to Pay $1 Million to Settle SEC Charges

SEC says private equity firm failed to enforce potential misuse of material nonpublic information.

Alternatives May 22, 2020

Investment committee finds current ratings to be too confusing for investors and aims to create a firmer standard for reporting ESG metrics.

Risk May 22, 2020

S&P and Moody’s take it heavy in an SEC hearing. A run-up to a replay of their 2008-09 vilification?

Regulation May 19, 2020

TCA Fund Management allegedly falsely inflated asset values by $130 million.

Regulation May 18, 2020

Analysts conducted both sales and ratings operations, the US securities regulator said.

Regulation May 8, 2020

The company’s subsidiary, Bloomberg Tradebook, allegedly transferred low-commission client orders to unaffiliated broker dealers.

Coronavirus - COVID-19 March 30, 2020

Investment advisers, funds, and public companies are granted 45-day extensions for certain reports.

Regulation March 24, 2020

Westport Capital and owner Christopher McClure bilked clients with hidden fees to enrich themselves.

Regulation March 17, 2020

Manager is accused of misleading investors and using funds to buy luxury apartments.

Regulation March 5, 2020

SEC says today’s Names Rules may not be effective in stopping the implementation of misleading fund names.

Regulation March 2, 2020

Actor and ‘Zen master’ agrees to pay more than $300,000 to settle charges he unlawfully touted an ICO.

Corporate Moves February 27, 2020

Payment includes $500 million civil penalty distributed to investors by SEC.

Regulation February 25, 2020

Enigma MPC raised approximately $45 million from 6,000 investors.

Asset Allocation February 18, 2020

Michael Ackerman boasted his algorithm generated monthly profits of 15%.

Regulation February 4, 2020

Philip Riehl allegedly scammed fellow Mennonites and Amish for nearly a decade.