SEC

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

Firm to clawback $174m from executives

• Regulation
• 23 October 2020

Whistleblower awarded $700,000 after prompting SEC investigation

• Regulation
• 22 June 2020

ESG ratings criticised as 'imprecise' by SEC chief

• ESG
• 28 May 2020

SEC awards almost $2m to whistleblower

• Regulation
• 04 May 2020

Steven Seagal fined £240,000 over cryptocurrency scheme

• Cryptocurrencies
• 28 February 2020

Wealth manager to plead guilty in $6m fraud case

• Wealth management
• 08 January 2020

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

• Regulation
• 03 January 2020

Insurance giant Aon moving to Ireland to escape Brexit fallout

• Brexit
• 31 October 2019

Barclays pays SEC $6.3m to settle Asian hiring case

• Banking
• 30 September 2019

SEC charges investment adviser with defrauding injured NFL players

• Wealth management
• 03 September 2019

Deutsche Bank fined $16m for hiring 'unqualified relatives' of politicians

• Regulation
• 23 August 2019

Regulatory boost for cryptocurrencies required

• Cryptocurrencies
• 28 November 2018