by Jyotsna Bucktowar | May 11, 2023
Both firms were charged for widespread and longstanding failures to maintain and preserve electronic communications. To settle the charges, HSBC and Scotia acknowledged that their conduct violated recordkeeping provisions of the federal securities laws and...
by Jyotsna Bucktowar | May 5, 2023
SEC announced the largest-ever award, nearly $279 million, to a whistleblower whose information and assistance led to the successful enforcement of SEC and related actions. The award not only incentivizes whistleblowers to come forward with accurate…
by AdrianaAMLP | Dec 13, 2022
SEC announced an award of more than $20 million to a whistleblower who provided information and assistance that significantly contributed to a successful enforcement action. The whistleblower provided new information, met with Enforcement Division staff multiple...
by AdrianaAMLP | Dec 3, 2022
The SEC’s order found that ABB executives in Switzerland and South Africa colluded with a high-ranking government official at Eskom, an electricity provider owned by the South African government, to funnel bribes to the official through complicit third-party...
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