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SEC Announces Charges Against Standard & Poor’s for Fraudulent Ratings Misconduct

SEC Announces Charges Against Standard & Poor’s for Fraudulent Ratings Misconduct
Source: U.S. Securities and Exchange Commission

The Securities and Exchange Commission today announced a series of federal securities law violations by Standard & Poor’s Ratings Services involving fraudulent misconduct in its ratings of certain commercial mortgage-backed securities (CMBS).

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Business And Economics

SEC Announces 2015 Examination Priorities; Priorities Focus on Protecting Retail Investors, Assessing Market-Wide Risks and Using Data Analytics

SEC Announces 2015 Examination Priorities; Priorities Focus on Protecting Retail Investors, Assessing Market-Wide Risks and Using Data Analytics
Source: U.S. Securities and Exchange Commission

the Securities and Exchange Commission today announced its Office of Compliance Inspections and Examinations’ (OCIE) priorities for 2015 which focus on three areas: protecting retail investors, especially those saving for or in retirement; assessing market-wide risks; and using data analytics to identify signs of potential illegal activity.

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Government And Politics

Bagnall: Nortel allegations finally fade away, with no apologies and no blame laid

Imagine that you had been fired a decade ago, sued for fraud by securities regulators on both sides of the border, then charged with crimes you had not committed. 934 more words

National

Carolinas politicians get payouts from broker

Politics sure are crooked. North Carolina Gov. Pat McCrory and U.S. Rep. Mark Sanford of South Carolina soon after taking office, accepted six-figure stock payouts from an online mortgage broker accused by regulators of deceiving its customers. 952 more words

In The News

Avon Fined $135M For Bribing Chinese Officials With Luxury Goods

Avon Products Inc., (parent company), the global direct seller of cosmetic goods, agreed to pay $135M to settle charges for its Chinese subsidiary that violated the Foreign and Avon Products China for bribing Chinese government officials. 570 more words

Fashion Court

Jury Finds Ex-Bank CEO Defrauded Investors

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MIAMI (AP) — A jury has found that the former chief executive officer of BankAtlantic Bancorp intentionally defrauded investors about the bank’s financial health as its real estate loans soured in 2007. 157 more words

News

Morgan Stanley paying $4 million to SEC over unauthorized purchase of $525 million in Apple stock

”Morgan Stanley has agreed to pay $4 million to settle federal charges of failing to prevent the unauthorized purchase of $525 million in Apple stock by one of its customers,” Marcy Gordon reports for The Associated Press. 193 more words

News