US SEC suspends trading in companies with dubious social media activity
On 25th February 2021, the U.S. Securities and Exchange Commission (SEC) suspended trading in the securities of 15 companies due to...
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Walmart settles with the SEC
On 20 June 2019 the U.S. Security and Exchange Commission (SEC) charged Walmart Inc. for violations of the Foreign Corrupt Practices Act...
SEC updates PAUSE list
On 10 June 2019 the U.S. Securities and Exchange Commission (SEC) updated its “Public Alert: Unregistered Soliciting Entities (PAUSE)”...
Medical device company settles with SEC and DoJ for FCPA violations
On 29 March 2019 the U.S. Securities and Exchange Commission (SEC) announced a settlement with Fresenius Medical Care AG & Co KGaA (FMC)...
UBS Financial Services Inc. penalized for inadequate anti-money laundering practices
The U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) has imposed a $14.5 million civil money penalty...
Sanofi agrees to settlement payment with the SEC
The U.S. Securities and Exchange Commission (SEC) reports that Sanofi, without admitting or denying findings, has agreed to pay more than...
Oil company Halliburton agrees to pay civil charges
Oil company Halliburton Co profited by approximately $ 14 million, with a business that violated the Foreign Corrupt Practices Act...
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