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ZYL Ltd fined for continuous disclosure breaches

ZYL Ltd pays penalty of $66,000 after failing to comply with continuous disclosure obligations

Originally Published:

Friday, September 20, 2013

SEC charges former executive for role in insider trading scheme

SEC charges executive for tipping information about company's finances as part of insider trading scheme

Originally Published:

Friday, September 20, 2013

JPMorgan Chase pays $200 million to settle SEC charges

SEC charges JPMorgan with misstating financial results and lacking effective internal controls to detect fraud

Originally Published:

Thursday, September 19, 2013

Hotel entrepreneur convicted of breaching directors’ duties

Former executive is convicted of breaching directors’ duties and submitting false and misleading documents

Originally Published:

Wednesday, September 18, 2013

SEC charges 23 firms with short selling violations

SEC announces enforcement actions against firms for short selling violations involving public stock offerings

Originally Published:

Tuesday, September 17, 2013

Deferred Prosecutions: Now the UK Jumps on Board

Originally Published:

Monday, September 16, 2013

Deferred Prosecution Agreements are an increasingly significant mechanism in a number of jurisdictions and the UK seems set to become the next prime mover in this law enforcement space.

AXA fined and reviews investment sales for advice failings

AXA fined by FCA for failing to ensure the giving of suitable investment advice to its customers, and agrees to contact potentially affected customers in review.

Originally Published:

Friday, September 13, 2013