Posted by UnitedAtlantic | securities and exchange commission
In August 2024, the U.S. Securities and Exchange Commission (SEC) settled charges against Sound Point Capital Management, LP, a registered… Continue reading SEC Sanctions Sound Point Capital Management for Violations Involving Misuse of Nonpublic Information
Read MorePosted by UnitedAtlantic | securities and exchange commission
In August 2024, the U.S. Securities and Exchange Commission (SEC) finalized a rule that adjusts the dollar threshold for defining… Continue reading SEC Final Rule Adjusts Definition of Qualifying Venture Capital Funds for Inflation
Read MorePosted by UnitedAtlantic | financial conduct authority
In August 2024, the Financial Conduct Authority (FCA) issued a £15 million fine against PricewaterhouseCoopers LLP (PwC) for its failure… Continue reading FCA Fines PricewaterhouseCoopers £15 Million for Failing to Report Suspected Fraud
Read MorePosted by UnitedAtlantic | financial conduct authority
In August 2024, the FCA issued a public censure against H2O Asset Management LLP (H2O) for serious failures in managing… Continue reading FCA Censures H2O Asset Management for Investment Failures
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