The U.S. Securities and Exchange Commission (SEC) has charged 12 firms for failing to retain employees' electronic conversations, the latest repercussions of the so-called WhatsApp investigations.

The U.S. Securities and Exchange Commission's wide-sweeping investigation into recordkeeping violations resulted in a crop of ...

A pair of SEC commissioners say the treatment of the brokerage firm Qatalyst shows industry watchdogs expect nothing short of ...

At a congressional hearing, Peirce said the agency should be taking a regulatory approach instead of levying fines.

The commission alleged that the schemers behind the fraudulent crypto platform NanoBit Limited falsely claimed their ...

In latest SEC investigation, 11 firms will pay more than $88 million to settle charges related to off-channel texting ...

US regulators levied more than $118 million in penalties against several financial firms for failing to keep employees’ ...

Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel ...

The Securities and Exchange Commission today announced charges against 12 municipal advisors for failures by the firms and their personnel to maintain and preserve certain electronic communications.

He was her Primary 4 and 5 form teacher, and as the two grew closer after she confided in him about her family problems, he ...

In 2016, as the form teacher of the victim’s Primary 5 class, he created a WhatsApp group chat with the pupils. He also ...

A lawyer for the SEC argued that the agency was not required to create a new rule for the sector, and that existing ...