Category: DISCLOSURE FAILURES

Disclosure Failures in the financial markets refer to instances where entities, such as publicly traded companies, financial institutions, or investment funds, fail to accurately and adequately disclose material information to investors and stakeholders. This information includes financial results, risks, liabilities, strategic decisions, and other crucial details that could influence investment decisions or market perceptions. Such failures can involve misleading statements, omissions of important facts, or incomplete disclosures that misrepresent the true financial health or operational risks of the entity. Disclosure failures undermine market transparency, distort pricing mechanisms, erode investor confidence, and may violate securities laws and regulations designed to protect investors and ensure fair and efficient markets. Regulatory oversight by agencies like the SEC is crucial in detecting and addressing these failures to maintain market integrity and investor trust.

SEC-PR-2024-20

File ID: SEC-PR-2024-20 Date: February 16, 2024 Accessed: June 23, 2024 Source: https://www.sec.gov/news/press-release/2024-20 PDF: Download (Links work in this file) Categories: DISCLOSURE FAILURES ETF LAUNCH Excerpt: SEC Charges Van Eck Associates for Failing to Disclose Influencer’s Role in Connection with ETF Launch FOR IMMEDIATE RELEASE 2024-20 Washington D.C., Feb. 16, 2024 — The Securities […]

SEC-PR-2024-05

File ID:  SEC-PR-2024-05 Date:  January 11, 2024 Accessed:  April 21, 2024 Source:  https://www.sec.gov/news/press-release/2024-5 Accessed:  April 21, 2024 PDF: Download (Links work in this file) Categories: MANIPULATIVE TRADING DISCLOSURE FAILERS Excerpt: SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures. FOR IMMEDIATE RELEASE 2024-5 Washington D.C., Jan. 11, 2024 — The Securities […]