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SEC

Goldman Sachs fined by FCA and PRA over 1MDB in $2.9bn global resolution

Regulation

Goldman Sachs fined by FCA and PRA over 1MDB in $2.9bn global resolution

Firm to clawback $174m from executives

clock 23 October 2020 •
Whistleblower awarded $700,000 after prompting SEC investigation

Regulation

Whistleblower awarded $700,000 after prompting SEC investigation

clock 22 June 2020 •
ESG ratings criticised as 'imprecise' by SEC chief

ESG

ESG ratings criticised as 'imprecise' by SEC chief

clock 28 May 2020 •
SEC awards almost $2m to whistleblower

Regulation

SEC awards almost $2m to whistleblower

clock 04 May 2020 •
Steven Seagal fined £240,000 over cryptocurrency scheme

Cryptocurrencies

Steven Seagal fined £240,000 over cryptocurrency scheme

clock 28 February 2020 •
Wealth manager to plead guilty in $6m fraud case

Wealth management

Wealth manager to plead guilty in $6m fraud case

clock 08 January 2020 •
MetLife hit with $10m SEC fine after failure to pay pensions

Regulation

MetLife hit with $10m SEC fine after failure to pay pensions

clock 03 January 2020 •
Insurance giant Aon moving to Ireland to escape Brexit fallout

Brexit

Insurance giant Aon moving to Ireland to escape Brexit fallout

clock 31 October 2019 •
Barclays pays SEC $6.3m to settle Asian hiring case

Banking

Barclays pays SEC $6.3m to settle Asian hiring case

clock 30 September 2019 •
SEC charges investment adviser with defrauding injured NFL players

Wealth management

SEC charges investment adviser with defrauding injured NFL players

clock 03 September 2019 •
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