White tapped to lead corporation finance division
SEC alleges National Clearing officers deceived fund companies
SEC alleges five men helped AIG mislead investors
Aim is to improve compensation transparency
Incentives for issuers include expedicted reviews of annual reports
Beller led effort to implement Sarbannes-Oxley
Calugar to pay US$50 million penalty
The U.S. Securities and Exchange Commission announced today that it filed charges against six former officers of Putnam Fiduciary Trust Company, a Boston-based registered transfer agent, for engaging in a scheme that allegedly defrauded a defined contribution plan client and group of Putnam mutual funds of approximately US$4 million. The commission’s complaint, which was filed […]
Cartwright succeeds Prezioso
Interactive data initiative aimed at giving investors better tools