An investment adviser settled charges with the SEC for inaccurately describing investments in periodic reports.
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A consumer goods company and its former CEO settled charges with the SEC for making misleading statements to investors by using non-GAAP measures on "core growth" and "core sales" in earnings reports.
Swap dealers at three different financial institutions settled separate CFTC enforcement actions for trade reporting and other compliance violations.
An investment adviser settled charges with the SEC for failing to disclose conflicts of interest to clients involving payments received by an affiliated custodian.
A swap dealer settled charges for failing to adhere to "pre-trade mid-market mark" compliance requirements.