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SEC updates US court on efforts to serve legal documents in Adani case
June 27, 2025 11:10 pm
The defendants, who are based in India, are yet to be officially served
US Securities and Exchange Commission beginning to onboard DOGE staff, email says
March 28, 2025 10:55 pm
DOGE officials were expected to primarily work through the SEC's liaison team, but staff may be contacted directly, the email stated.
US SEC holds crypto task force roundtable as Trump plans regulatory revamp
March 23, 2025 9:38 am
The task force debated whether crypto tokens require a new, separate regulatory framework, different from how the SEC oversees securities such as equities.
In Paradise Papers dataset, details of Azure Power becoming a Mauritius entity; their pledge to follow US laws
November 26, 2024 8:16 am
The company — which has described itself as an “emerging growth company” with no business operations of its own has declared that they were developing and implementing “controls and procedures’’ to ensure that we are in compliance with the FCPA and similar laws.
Behind Adani investigations: multiple US agencies, Indian-American officials
November 22, 2024 1:46 am
Billionaire Gautam Adani has been implicated in an alleged “massive bribery scam” which is being parallely investigated by the FBI and DoJ, and the SEC
US regulators step up scrutiny of IPO hopefuls from China
July 31, 2021 10:26 am
Beijing said it would step up its supervision of Chinese companies listed overseas, including reviews of their cybersecurity.
Walmart to pay over $282 mn for violating anti-corruption regulations in four countries
June 21, 2019 12:23 pm
According to the US Security and Exchange Commission (SEC), these violations were conducted by Walmart's third-party intermediaries who made payments to foreign government officials without reasonable assurances that they complied with the FCPA.
SEC sues Volkswagen, former chief executive Winterkorn, citing 'Dieselgate' fraud on investors
March 15, 2019 1:30 pm
Winterkorn, who resigned days after the scandal became public in September 2015, was charged by U.S. prosecutors in 2018 and accused of conspiring to cover up the German automaker's diesel emissions cheating.
Indian-origin executive settles charges with SEC, another charged for making false claims
August 25, 2018 12:16 pm
Ravichandran, a resident of Boston, had founded Endurance in 1997 and served as the company's Chief Executive Officer and as a member of the Board of Directors.
Securities and Exchange Commission charges Indian-origin man, business associate with fraud
April 03, 2018 9:32 am
The Securities and Exchange Commission (SEC) on Monday charged Sohrab Sharma and Robert Farkas, co-founders of a purported financial services start-up Centra Tech.
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