Tag: disclosure

The SEC has continued to closely scrutinize disclosures related to trading in the markets. Its most recent cases involved Citigroup and Morgan Stanley. The actions are based on not disclosing that models used to market a product contained assumptions that …

SEC Sanctions Citi, Morgan Stanley Tied To Forex Trading Program Read More »

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As the Christmas and holiday season approaches, the SEC brought a series of actions. Those included two settled FCPA actions filed in tandem with the DOJ, one of which also involved foreign regulators and the payment of about $3.5 billion. …

This Week In Securities Litigation (Week ending December 23, 2016) Read More »

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