A global mining and metals company settled SEC charges over an alleged bribery scheme in Guinea in violation of the Foreign Corrupt Practices Act.
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In his remarks before the Institute of International Bankers, SEC Commissioner Mark T. Uyeda offered perspective on a regulatory framework necessary to achieve a healthy capital market and considered the "symbiotic" relationship between investor protection and capital formation.
A broker-dealer settled FINRA charges for conducting a securities business while failing to maintain the required minimum net capital and failing to file timely notices of net capital deficiency with the SEC and FINRA.
In a letter to SEC Chair Gary Gensler, 51 Democratic lawmakers urged the SEC to finalize its proposed climate-risk disclosure rule and cautioned against "softening" and "scaling back" the proposed disclosure requirements.
A global gaming and sports betting company settled SEC charges that it violated the Foreign Corrupt Practices Act by failing to (i) establish and maintain a reasonable system of internal accounting controls and (ii) record and monitor payments to Russian third-party consultants.