SEC
People Moves | 22 Nov 24
SEC chair Gensler to step down in January
During his tenure the SEC filed more than 2,700 enforcement actions, obtained $21bn in penalties, disgorgement orders
US watchdog eyes stricter regulations for advisers
To ensure they ‘don’t inappropriately use, lose, or abuse investors’ assets’
FCA fines nearly triple in a year
While US regulator raked in record $6.4bn in penalties
SEC fines ex-Blackrock manager for conflict of interest
Randy Robertson has been handed a $250,000 penalty for failing to disclose ties to a film distribution company
Five charged over roles in $45m global Crypto scheme
‘Defendants enriched themselves while defrauding tens of thousands of retail investors’