By Jaclyn Jaeger2017-01-19T10:30:00
Without admitting or denying the findings, asset management BlackRock agreed to pay a $340,000 penalty to settle charges that it improperly used separation agreements in which exiting employees were forced to waive their ability to obtain whistleblower awards. Jaclyn Jaeger reports.
2018-01-23T10:00:00Z By Joe Mont
Investors in index funds are taking a page from their activist counterparts and making demands on companies. The surprise: Those companies are listening.
2025-12-05T19:25:00Z By Oscar Gonzalez
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its 2026 examination priorities, which give companies a roadmap of areas of heightened risk and regulatory focus for next year.
2025-12-03T17:18:00Z By Adrianne Appel
A San Francisco-based private equity firm has agreed to pay $11.4 million to settle allegations it violated U.S. sanctions rules by handling investments for a sanctioned Russian oligarch.
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