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WASHINGTON (Reuters) -Wall Street's top regulator on Wednesday adopted a new rule cracking down on so-called "greenwashing" and other deceptive or misleading marketing practices by U.S. investment ...
The U.S. Securities and Exchange Commission is preparing to resolve a two-year probe into allegations of greenwashing by the German fund manager DWS, with a fine by the end of September, two ...
In February 2011, the SEC charged DHB Industries, a major supplier of body armor to the U.S. military and law enforcement agencies, for engaging in a large accounting fraud, and in addition separately charged three of DHB's former outside directors and audit committee members for their complicity in the scheme. [28]
Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC.
The procedures and rules for when and how to open and close MUIs are described in the agency's Enforcement Manual (which was first published in 2008), [5] [6] as well as other SEC memorandum [7] In the 2000s (decade) era, any MUI that was not cancelled, automatically became an 'informal investigation' after a certain period of time.
The appeals court found that the SEC’s case against Jarkesy, resulting in a $300,000 civil fine and the repayment of $680,000 in allegedly ill-gotten gains, should have been heard in a federal ...
Some companies are adding ESG controller positions as the costs of climate risks need to be included in reporting.
Central Bank of Nigeria ; Securities and Exchange Commission (SEC) ; National Insurance Commission (NAICOM) ; National Pension Commission (PENCOM) North Macedonia: National Bank of North Macedonia ; Securities and Exchange Commission (SEC) ; Insurance Supervision Agency (ISA) Norway: Financial Supervisory Authority (Finanstilsynet) Oman