How Individuals Can Win Non-Prosecution Agreements With the SEC

By Jaclyn Jaeger2012-04-10T00:00:00

THIS IS MEMBERS-ONLY CONTENT

You are not logged in and do not have access to members-only content.

If you are already a registered user or a member, SIGN IN now.

News Brief
SEC orders Meta Materials to pay $1M over market manipulation, fraud

2024-06-26T13:54:00Z By Adrianne Appel

A Nevada energy and manufacturing company headquartered in Nova Scotia agreed to pay $1 million to settle charges levied by the Securities and Exchange Commission for alleged market manipulation and fraud, while the agency further investigates its former chief executives.
Article
Compliance Rescues Morgan Stanley From FCPA Prosecution

2012-05-08T00:00:00Z By Jaclyn Jaeger
Webcast
Oct 14 | CPE Webcast: Navigating Evolving Banking Regulations in the U.S. and Canada

Provided by AuditBoard

U.S. Banking regulators have moved to loosen traditional regulation and supervision in areas like capital requirements, stress testing and liquidity, while also being more receptive to innovation in areas including Artificial Intelligence and digital assets.