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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 ...
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
Congress vested the PCAOB with expanded oversight authority over the audits of brokers and dealers registered with the SEC in 2010 through the Dodd–Frank Wall Street Reform and Consumer Protection Act. [5] The PCAOB has four primary functions in overseeing these auditors: registration, inspection, standard-setting and enforcement.
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
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Rulemaking at the U.S. Securities and Exchange Commission, which hit a record pace early in President Joe Biden's administration, has slowed significantly as the agency navigates a hostile new ...
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]
A challenge to the U.S. Securities and Exchange Commission's powers to protect investors from fraud comes before the Supreme Court on Wednesday in another in a series of legal attacks against ...