Posted by UnitedAtlantic | securities and exchange commission
The Securities and Exchange Commission (SEC) released its latest Investment Adviser Statistics Report on May 15, 2024, providing a comprehensive… Continue reading Key Insights from the SEC’s Investment Adviser Statistics Report (May 2024)
Read MorePosted by UnitedAtlantic | financial conduct authority
In May 2024, the Financial Conduct Authority (FCA) imposed a £6.28 million fine on HSBC UK Bank, HSBC Bank, and… Continue reading FCA Fines HSBC and Marks & Spencer Financial Services Over £6 Million for Arrears Mismanagement
Read MorePosted by UnitedAtlantic | financial conduct authority
In May 2024, the FCA imposed a £27.7 million fine on Citigroup Global Markets Limited (CGML) for failures related to… Continue reading FCA Fines Citigroup Global Markets Ltd £27.7 Million for Trading Incident Failures
Read MorePosted by UnitedAtlantic | regulatory action, securities and exchange commission
In May 2024, the U.S. Securities and Exchange Commission (SEC) filed a civil lawsuit against Frank T. Poerio, Jr. for… Continue reading SEC Files Insider Trading Lawsuit Against Frank T. Poerio, Jr.
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