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Browse: Home / Investigations

Investigations

U.S. securities regulator probes Didi Global’s $4.4 billion IPO | Reuters

By Securities Docket on May 5, 2022, 7:40 am

The U.S. Securities Exchange Commission is investigating Didi Global Inc over its $4.4 billion initial public offering in the United States in June last year, the Chinese ride-hailing giant said. Didi was cooperating with the U.S. securities regulator’s investigation related to the offering, “subject to strict compliance” with Chinese law, the company said in its […]

Posted in Global, SEC, Top | Tagged China, Investigations

Is Stock Market Rigged? Bill Hwang Arrest Is Start of Trading Crackdown – Bloomberg

By Securities Docket on May 4, 2022, 8:02 am

All of Wall Street should pay close attention. The Hwang case marks an upswing of federal investigations into a slew of suspected trading abuses. Three other broad inquiries have emerged in recent months to examine so-called block trades, short sales, and well-timed wagers. They all center on the same question: Are markets rigged? Source: Is […]

Posted in Criminal, SEC, Top | Tagged Investigations

Nov. 17 Webcast: Internal Investigations in Brazil and the U.S. – Comparative Approaches and Challenges

Nov. 17 Webcast: Internal Investigations in Brazil and the U.S. – Comparative Approaches and Challenges

By Securities Docket on October 26, 2021, 9:36 am

Please join Iris Bennett, Carlos Ayres and Steven Neuman for this free webcast.

Posted in Global, News Wire, Top | Tagged Brazil, Investigations, Webcasts

July 28 Webcast: The Modernization of Communications and Corporate Investigations

July 28 Webcast: The Modernization of Communications and Corporate Investigations

By Securities Docket on July 7, 2021, 4:42 pm

Please join Emmanuel Ayuk, Veeral Gosalia, Irumire (David) Okhumale, and Alex Semertzides for this free webcast.

Posted in Industry, Top, Uncategorized | Tagged Communications, Investigations, Webcasts

Finablr appoints law firm Skadden to investigate potential misconduct

By Securities Docket on July 24, 2020, 11:45 am

Finablr has appointed law firm Skadden to help investigate potential wrongdoing and theft within the payments group as it seeks answers about £1bn of undisclosed debt discovered on its balance sheet earlier this year. UAE-based Finablr is part of the business empire of BR Shetty, who floated the group in London last year at a […]

Posted in Industry, Top | Tagged Investigations

Tesla Faces a New S.E.C. Investigation – The New York Times

By Securities Docket on February 14, 2020, 9:05 am

Tesla received a subpoena in December from the Securities and Exchange Commission asking the electric-car maker to turn over information about its financial data and contracts, the company said in a filing with the agency on Thursday. In the filing, Tesla also said the S.E.C. had closed a separate investigation into projections and statements the […]

Posted in SEC, Top | Tagged Investigations

Snap says DOJ, SEC drop probe on IPO disclosures – Reuters

By Securities Docket on October 25, 2019, 8:02 am

Snap Inc said on Wednesday that the U.S Department of Justice and the Securities and Exchange Commission were no longer investigating whether the company misled investors at the time of its March 2017 initial public offering. via Snap says DOJ, SEC drop probe on IPO disclosures – Reuters.

Posted in Criminal, SEC, Top | Tagged Investigations

SEC drops Exxon climate-change probe in latest blow to #ExxonKnew campaign – Washington Times

By Securities Docket on August 4, 2018, 11:40 am

The Securities and Exchange Commission has dropped its probe into whether ExxonMobil misled investors about climate change, the latest blow to the environmental movement’s bid to pin global warming on the oil-and-gas industry. via SEC drops Exxon climate-change probe in latest blow to #ExxonKnew campaign – Washington Times.

Posted in SEC, Top | Tagged Investigations

SEC Probes Wells Fargo, Bank Ups Legal Reserves Fund – The New York Times

By Securities Docket on November 3, 2016, 9:24 am

Wells Fargo has confirmed the existence of an investigation by the Securities and Exchange Commission into its sales practices, and the bank revealed that it has almost doubled funds set aside to deal with its ongoing legal problems. via SEC Probes Wells Fargo, Bank Ups Legal Reserves Fund – The New York Times

Posted in SEC, Top | Tagged Investigations

SECs Trader-Based Approach To Insider Trading Enforcement – Lexology

By Securities Docket on September 8, 2016, 10:14 am

The SEC’s increasingly sophisticated ability to, in Friestad’s words, connect “patterns of trading to sources of material nonpublic information,” therefore, should sound as an alarm bell to professional traders and portfolio managers whose otherwise innocent trading may come under enhanced scrutiny, and to compliance departments tasked with administering information controls, reviewing employee personal trading and […]

Posted in SEC, Top | Tagged Insider Trading, Investigations

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