Gary Gensler, Chair of the US Securities and Exchange Commission (SEC), has revealed that the SEC is reviewing its whistleblower programme.
By Bao Nguyen, Nick Tootle and Stephen Ng (pictured) – With a new administration in office, an evolving regulatory landscape, and tax changes potentially on the way, investment funds should be proactive about watching for any shifts in tax policy or compliance requirements that might impact future planning.
By A Paris — From the appeal of no income tax, to the supportive business community and the weather and lifestyle it offers, Florida has continued on its upward trajectory as an attractive location for financial and technology firms.
Institutional investors in the US are increasingly planning to adopt ESG in their portfolios, swayed by recent evidence of sustainable investments’ outperformance.
Exchange Data International (EDI) has welcomed the SEC's approval of the New Issue Database for US Corporate Bonds, an initiative it believes will promote transparency in the US corporate bond market.
CUSIP Global Services secures accreditation renewal for CUSIP Identifier as US standard for unique security identification
CUSIP Global Services has announced the renewal of the accreditation of the CUSIP identifier as the American national standard for unique securities identification.
JPMorgan is to pay a record USD920.2 million, the largest amount of monetary relief ever imposed by the CFTC, to settle charges against JPMorgan Chase & Company (JPMC & Co.) and its subsidiaries, JPMorgan Chase Bank, and JPMorgan Securities (JPMS) (collectively, JPM), for manipulative and deceptive conduct and spoofing.
The 100th whistleblower award to be made since the SEC Whistleblower Program was created as part of the Dodd Frank Act in 2010 has been announced by the SEC.
Proposed changes to the SEC's Dodd-Frank Act whistleblower reward programme will undermine vital whistleblower protections, and place investors at significant risk of being harmed by increased fraud, according to whistleblower rights law firm of Kohn, Kohn and Colapinto.
Bank of Nova Scotia to pay USD127.4m CFTC penalty for spoofing, false statements, compliance and supervision violations
The Commodity Futures Trading Commission (CFTC) has issued three orders filing and settling charges against The Bank of Nova Scotia (BNS), a provisionally registered swap dealer, resolving two separate enforcement actions.