SEC
Transamerica agrees $97.6m settlement over flawed investment models
Four Transamerica affiliates have agreed to a $97.6m settlement with the US Securities and Exchange Commission (SEC) over allegations that…
Merrill Lynch gets fined $8.9m over conflict of interest allegations
Merrill Lynch, Pierce, Fenner & Smith has agreed to pay a fine of $8.9m to resolve allegations by the US…
Morgan Stanley fined $3.6m for alleged misappropriation of client funds
Morgan Stanley Smith Barney has agreed to pay a fine of $3.6m to the US Securities and Exchange Commission (SEC)…
ICBC fined by US regulators for suspicious penny stock transactions
Industrial and Commercial Bank of China Financial Services (ICBCFS), the US subsidiary of Industrial and Commercial Bank of China, has…
SEC fines three investment advisers for breaching fiduciary duties
The US Securities and Exchange Commission (SEC) has ordered PNC Investments (PNCI), Securities America Advisors, and Geneos Wealth Management to…
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Donnelley partners MSCI to help asset managers meet SEC requirements
Donnelley Financial Solutions, a provider of risk and compliance solutions, has entered into a strategic arrangement with MSCI, a provider…
SEC to establish cyber security unit
The US Securities and Exchange Commission (SEC) has announced plans to create a unit to tackle cyber threat. The new…
State Street agrees $35m settlement for charges of fraud and disclosure failures
American investment manager State Street has agreed to pay a fine of over $35m to the US Securities and Exchange…