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Explore the types of articles and in-depth analysis available through the Cheetah State Securities Law Suite.
Advisers’ outside consultant, internal officer settle SEC reporting and recordkeeping charges
An outside compliance consultant and the COO of two advisers have agreed to settle SEC charges that they caused the advisory firms to make misstatements regarding assets under management and account t...
KPMG settles with SEC over oil-and-gas audit failures
KPMG agreed to pay $6.2 million for failing to audit the financial statements of Miller Energy Resources. In fiscal 2010, Miller acquired oil and gas interests for approximately $4.5 million and then ...
Giancarlo highlights priorities and goals in first on-the-record interview as CFTC chairman
CFTC Chairman J. Christopher Giancarlo addressed a wide variety of topics, ranging from the Trump regulatory reform agenda to the agency’s budget to cryptocurrencies, in his first on-the record ...
Contrite ex-trader defeats CFTC’s lifetime ban and ‘excessive’ penalties
A judge sitting in the U.S. District Court for the Southern District of New York rejected the CFTC’s bid to impose lifetime registration and trading bans against Fan Wang, an ex-trader who, in a...
SEC stays approval of Chicago Stock Exchange acquisition by Chinese investors, pending review
The Commission will review the action taken by the Division of Trading and Markets in which it approved, by delegated authority, a proposed rule change to permit the acquisition of CHX Holdings, Inc. ...