
U.S. Supreme Court Casts Doubt on SEC Enforcement Actions Without Juries
Conservative justices, in a securities fraud enforcement case, sound skeptical that defendants shouldn’t have a right to be judged by peers.
Conservative justices, in a securities fraud enforcement case, sound skeptical that defendants shouldn’t have a right to be judged by peers.
Marcum audit partner Alfonse Gregory Giugliano was slapped with a $75,000 fine for failing to fix problems in the firm's QC system.
The World Health Organization declared the public health emergency over, but companies still name COVID as a financial risk.
Hedge funds and private equity firms will have to disclose more about their fees and face new restrictions from the SEC.
In addition, Crowe U.K. CEO Nigel Bostock will pay a $25,000 penalty and senior auditor Matthew Stallabrass will fork over $10,000.
The regulator in the complaints against Binance and Coinbase cited more than a dozen major coins as assets that fall under its purview.
It is the largest-ever reward the SEC has paid to a whistleblower; the previous highest reward was $114 million in October 2020.
For the last two years, SEC Chair Gary Gensler has championed new rules to add scrutiny to hedge funds and private equity firms.