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Showing 131 - 140 of 233 results for "Exchange Commission"

CBA appoints international experts to oversee advice program

LAURA MILLAN  |  MONDAY, 11 AUG 2014
... supervising the majority of US banking assets. Schapiro served as the 29th chair of the US Securities and Exchange Commission from 2009 - 2012. The Open Advice Review program was set up after media reports and a Senate Economics Committee inquiry unveiled ...

Buffett discloses new Verizon investment

AAP  |  FRIDAY, 16 MAY 2014
... the changes to its $US106 billion ($A114.69 billion) portfolio in documents filed with the Securities and Exchange Commission that show what the company owned at the end of March. The Verizon investment was the only new one disclosed. Berkshire bought ...

US fight over adviser fiduciary rules nears end

ALEX DUNNIN  |  THURSDAY, 17 APR 2014
... retreated back to just improved disclosure rules. The Wall Street Journal has reported that the US Securities Exchange Commission (SEC) is soon to announce its final position on the long run argument over what the new fiduciary rules for brokers and ...

SEC reopens target date funds disclosure review

ALEX DUNNIN  |  WEDNESDAY, 9 APR 2014
The US Securities Exchange Commission (SEC) has reopened its review into enhanced disclosure regulations for target date funds, a sector that they believe is very difficult for investors to compare. The review was launched following recommendations ...

FBI launches probe into high speed traders

MARK SMITH  |  THURSDAY, 3 APR 2014
... high frequency trading (HFT) firms are involved in insider trading. According to reports, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission are looking into ties between high-speed traders and major exchanges ...

SEC prioritises cybersecurity

ALEX DUNNIN  |  THURSDAY, 13 MAR 2014
... Nevertheless there is a view that cybersecurity is an issue primarily for large firms, but the Securities and Exchange Commission (SEC) has signalled that it's equally important for small firms because every point of access to financial system network ...

New index offers chance to invest like a billionaire

MARK SMITH  |  WEDNESDAY, 27 NOV 2013
... Soros. Devised from the quarterly disclosures investment managers are required to lodge with the Securities Exchange Commission (SEC), the index is composed of the top 30 large-cap equities listed on the S&P 500 in which these wealthy investors have ...

ASIC beefs up surveillance system

MARK SMITH  |  MONDAY, 25 NOV 2013
New upgrades to the Australian Securities and Exchange Commission's (ASIC) market surveillance system allowing the regulator to conduct multi-market supervision across futures and equities in real time are now operational. According to financial services ...

Republicans vote that advisers have no best interest duty

ALEX DUNNIN  |  FRIDAY, 1 NOV 2013
... Republican-sponsored bill requires that implementation of the fiduciary test provision be delayed until the Securities and Exchange Commission (SEC) has conducted further research on how such measures would impact retail investors. The SEC and DOL want ...

ASX endorses Henry board director bid

ALICE URIBE  |  WEDNESDAY, 25 SEP 2013
... board after their hedge fund Manikay Partners (Manikay) agreed to settle a claim with the US Securities and Exchange Commission (SEC) over improperly buying Citigroup shares in 2009. Manikay will pay the SEC $2.6 million to settle the action. The hedge ...