... 美國證券交易委員會（SEC）在2004年指控CA虛報營業額，也許受到這件事影響，CA這數年的營業額才會像一池死 ...全文
今日信報理財投資THE LEX COLUMN2016年11月18日
美國證券交易委員會（SEC）周一表示，主席懷特（Mary Jo White）計劃明年1月離任，與總統奧巴馬卸任 ...全文
... it in the second quarter for the first time, prompting the market to speculate on the reason. The company reported earnings and revenue that beat market expectations in the second quarter. Revenue soa ...More
EJ Insight2016-11-07
UBS Group AG has agreed to pay more than US$15 million to settle US Securities and Exchange Commission charges that its failure to properly train brokers led to customers buying hundreds of millions o ...More
EJ Insight2016-09-29
... priority. Securities and Exchange Commission chair Mary Jo White, asked about Yahoo, said she could not comment specifically on it. She earlier said at a conference that SEC examiners in recent months ...More
EJ Insight2016-09-28
... with the Securities and Exchange Commission (SEC) in February, Reuters reports, citing a lawyer for the former executive. It is the SEC's second largest under the program. The lawyer declined to reve ...More
EJ Insight2016-08-31
Tesla Motors Inc. may have broken US securities laws by failing to disclose a fatal crash in May involving one of its cars on auto-pilot. The Wall Street Journal is reporting that the Securities and E ...More
EJ Insight2016-07-12
Investors Exchange (IEX) has won approval from the US Securities and Exchange Commission as a national securities exchange. The trading platform has a so-called speed bump of 350 microseconds, which i ...More
EJ Insight2016-07-04
... by the US Securities and Exchange Commission of its Chinese delivery unit and Japanese technology giant SoftBank Group Corp. disclosed plans to sell a US$10 billion stake. “There’s been an accumulatio ...More
EJ Insight2016-06-13
Alibaba Group Holding Ltd. is being investigated by US securities regulators for its accounting practices. The Securities and Exchange Commission (SEC) has asked the Chinese e-commerce giant to volun ...More
EJ Insight2016-05-26
... th the US Securities and Exchange Commission and the US Justice Department in “an investigation into certain of its hiring practices in Asia”. About 10 banks in the United States and Europe have said ...More
EJ Insight2016-03-02
US regulators are investigating whether Boeing Co. properly accounted for the costs and expected sales of two of its best known jetliners. Acting on a whistleblower’s complaint, the US Securities and ...More
EJ Insight2016-02-12
... th the US Securities and Exchange Commission (SEC) and the New York attorney general, the paper said. The SEC alleged that Barclays and Credit Suisse repeatedly failed to police their trading venues, ...More
EJ Insight2016-02-01
... based on SEC filings showed. The current tax code was made for the Industrial Age, and not the "digital age", Cook said. "It's backwards. It's awful for America. It should have been fixed many years ...More
EJ Insight2015-12-21
US securities regulators are set to crack down on the use of derivatives in certain funds sold to the public by asset management firms, the Wall Street Journal reported. The Securities and Exchange Co ...More
EJ Insight2015-12-07
... s, the US Securities and Exchange Commission (SEC) issued last month a final rule that will allow true crowdfunding; and yet the new regulatory framework still falls far short of what’s needed to boos ...More
EJ Insight2015-11-19
... tigation, Secret Service and the Securities and Exchange Commission are leading the investigation of the infiltration, Bloomberg reported, citing unnamed people familiar with the matter. The probe beg ...More
EJ Insight2015-10-19
... with the Securities and Exchange Commission, as well as US$30 million to the New York Attorney General. Dark pools, where supply and demand is kept private and only details of executed trades are mad ...More
EJ Insight2015-09-15
