The Securities and Exchange Commission announced charges against global software company SAP SE for violations of the Foreign Cor...
CN Editor
January 11, 2024
SEC CHARGES ADVISORY FIRM NAVY CAPITAL WITH MISREPRESENTING ITS ANTI-MONEY LAUNDERING PROCEDURES TO INVESTORS
THREE INVESTMENT ADVISER REPRESENTATIVES SETTLE SEC CHARGES FOR ACTING AS UNREGISTERED BROKERS
TWELVE FIRMS TO PAY MORE THAN $63 MILLION COMBINED TO SETTLE SEC"S CHARGES FOR RECORDKEEPING FAILURES
TWO ROBINHOOD BROKER-DEALERS TO PAY $45 MILLION IN COMBINED PENALITIES FOR VIOLATING MORE THAN 10 SEPARATE SECURITIES LAW PROVISIONS
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