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Topik charged

Business

Cumberland DRW charged for working as unregistered crypto broker by means of SEC

Business | Senin, 14 Oktober 2024 - 18:25

Senin, 14 Oktober 2024 - 18:25

The USA Securities and Alternate Fee (SEC) has charged Chicago-based company Cumberland DRW with working as an unregistered crypto asset broker.  Jorge Tenreiro Particularly,…

Business

Best broker-dealers charged with hundreds of thousands in recordkeeping screw ups

Business | Kamis, 15 Agustus 2024 - 17:25

Kamis, 15 Agustus 2024 - 17:25

The SEC has charged 26 broker-dealers, funding advisers, and dually-registered broker-dealers a mixed $392.75 million for standard recordkeeping screw ups. The companies had been…

Business

ICE issued $10 million penalty by way of SEC whilst New York Inventory Alternate and others are charged

Business | Kamis, 23 Mei 2024 - 20:49

Kamis, 23 Mei 2024 - 20:49

The SEC has showed that Intercontinental Alternate has agreed to pay a $10 million penalty associated with a contravention of its personal inner cyber…