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Silver referee whistle

The SEC paid US$3.2 million for tip and ongoing assistance, in spite of delay in coming forward

Wooden gavel used by a judge or auctioneer

Criminal and civil charges are based on allegations that a fund manager deceived investors, misappropriated assets


Former prosecutor Alex Oh will lead the U.S. regulator's enforcement division

The choice signals a focus on investor protection

Silver referee whistle

Agency hands out its record-setting 40th financial award for an enforcement tip

Young plant

Voluntary disclosures from public companies aren't adequate, SEC acting chair Herren Lee says


The new task force will look at issuers' climate risk disclosure, plus issues with investment ESG strategies

Justitia, the goddess of justice

The pair of tipsters who have denied an award didn't provide info that contributed to the investigation, the SEC said


Gary Gensler says the regulator will study the use of “behavioural” technology in stock-trading apps

Social networking concept

Regulator concerned that investors may be duped by efforts to pump dormant stocks