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
Rule would ensure all shareholders are paid the same consideration
Dealer fined for violating rules on political contributions