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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
Products carry ‘greater volatility and risk’ compared with holding the underlying asset, says US regulator
Companies backed requirement that ISS and Glass Lewis tell them voting recommendations
Bank says it revised cash flow statements and updated information at US regulator’s request
SEC proposal requiring dealer registration would increase capital requirements and scrutiny
Digital asset manager challenges rejection of application to convert $40bn trust into exchange traded fund
SEC alleges ‘breaches of trust’ involving dozens of employees at Big Four audit firm
Paranoia over unapproved messaging will only create more problems for regulators.
Gary Gensler seeks to share information with derivatives agency to better regulate digital assets
The growing importance and influence of financial indices cannot be denied
Financial regulators clamp down on companies misleading investors by overstating the greenness of their funds
Regulator’s proposal would force companies to disclose carbon emissions and climate change risks for the first time
Plus, the comment period on the SEC’s big climate proposal comes to an end
S&P Global and MSCI could be reclassified as investment advisers by US regulator
Plus, ‘ecocide’ prevention comes for banks and pension funds
Names Rule amendments could have a particular impact on thematic ETFs, analysts say
SEC slams ‘egregious’ allocations of customer money that extracted ‘hidden costs’
AFL-CIO says they do not support activist investors opposed to post-Archegos transparency drive
US regulator has been putting more focus on potential ‘greenwashing’ in finance
Do Kwon told to submit information on digital token trading network
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