Tag: United States Securities & Exchange Commission
Germany $593 Billion Asset Manager Allianz Global Investors Launches Mutual Fund...
Germany $593 Billion Asset Manager Allianz Global Investors Launches Mutual Fund Management Subsidiary in Shanghai, Parent is Allianz Which Also Owns Leading Asset Manager...
Allianz Global Investors ex-CIO of Structured Alpha Funds Gregoire Tournant Pleads...
Allianz Global Investors ex-CIO of Structured Alpha Funds Gregoire Tournant Pleads Guilty to Investment Fraud & Forfeits $17.5 Million of Income & Bonuses Inflated...
United States SEC Charged 3 New York Residents for Pre-IPO Fraud...
United States SEC Charged 3 New York Residents for Pre-IPO Fraud Raising $184 Million from Investors in 2019 to 2022 & Receiving $45 Million...
Malaysia-Born Broadcom CEO Tan Hock Eng Received $161.8 Million in Pay...
Malaysia-Born Broadcom CEO Tan Hock Eng Received $161.8 Million in Pay for 2023 Including Stock Awards, Received $60.6 Million Pay in 2022, Broadcom Market...
Broadcom Completes $69 Billion Acquisition of VMware on 22nd November 2023...
Broadcom Completes $69 Billion Acquisition of VMware on 22nd November 2023 after China Approval, $61 Billion in Cash & $8 Billion in Debt, Michael...
$12.9 Billion Grab President Ming Maa to Step Down in April...
$12.9 Billion Grab President Ming Maa to Step Down in April 2024 & Chief People Officer Ong Chin Yin Appointed as Board Director, Tan...
United States SEC Fines Asset Manager BlackRock $2.5 Million for Wrongly...
United States SEC Fines Asset Manager BlackRock $2.5 Million for Wrongly Describing Invested Company Aviron in Entertainment, Print & Advertising as Diversified Financial Services...
United States SEC Shortens 13D Shareholding Ownership Filing Requirement from 10...
United States SEC Shortens 13D Shareholding Ownership Filing Requirement from 10 Business Days to 5 Business Days & 13D Amendments to 2 Business Days
12th...
United States SEC Fines Citigroup $2.9 Million for Using Unverified Method...
United States SEC Fines Citigroup $2.9 Million for Using Unverified Method to Calculate & Record Indirect Expenses for Underwriting Fees, Did Not Know Basis...
United States SEC Awards $104 Million to 7 Whistleblowers, Issued Largest-ever...
United States SEC Awards $104 Million to 7 Whistleblowers, Issued Largest-ever Payout of $279 Million to Whistleblower in 2023 May Which Helped Recovered $4...
