Search ResultsShowing 1 - 10 of 100+ results for "SEC"
Portfolio manager caught out faking returns
KANIKA SOOD  |  FRIDAY, 19 JUL 2019
... home US $600,000 in excess compensation from the fund's overstated performances and tried to cover up his conduct, the SEC said. "Rege used different discount curves to arrive at the net present value of long and short positions in certain swaps ...
Nomura ordered to pay back US $25m
KANIKA SOOD  |  TUESDAY, 16 JUL 2019
... that they were still negotiating with a third-party seller when Nomura had, in fact, already bought a security,' the SEC said. The SEC's orders further found that Nomura lacked compliance and surveillance procedures that were reasonably ...
State Street cops $125m penalty
JAMIE WILLIAMSON  |  WEDNESDAY, 3 JUL 2019
... secured financial messages through the Society of Worldwide Interbank Financial Telecommunication (SWIFT) network. The SEC said State Street's clients agreed to pay the firm back for out-of-pocket custodial expenses that the firm paid on ...
Frat house ponzi scheme charged
KANIKA SOOD  |  FRIDAY, 7 JUN 2019
... Arhan Arbab collected more than $269,000 from at least eight college students, recent graduates, or their family members, SEC said. He offered investors bond agreements with a fixed rate of return plus principal back or in a hedge fund named Artis ...
SEC adopts retail investor protection package
KARREN VERGARA  |  THURSDAY, 6 JUN 2019
... or not the firm and its financial professionals have disciplinary history, typically in a question-and-answer format. SEC chair Jay Clayton said the new rules address issues that the Commission has been actively considering for nearly two ...
US relaxes active ETF disclosures
KANIKA SOOD  |  TUESDAY, 16 APR 2019
... and Exchange Commission last week allowed an ETF provider to trade active ETFs without making daily disclosures. The SEC had previously rejected Precidian Investments' bid over concerns about whether the funds' prices would track their ...
Advisers to return US$125m in fees
KANIKA SOOD  |  TUESDAY, 12 MAR 2019
... also registered representatives, creating a conflict between advisers' gains and the clients' best interest. The SEC came up with a three step plan to address this. It incentivised advisors for self-reporting they had violated American ...
IFM Investors adds policy director
KARREN VERGARA  |  THURSDAY, 28 FEB 2019
... director of strategy and policy. Prior to joining ISA, May worked at the US Securities and Exchanges Commission (SEC) where he was counsel to Commissioner Luis A. Aguilar. He also assisted with the regulatory response to the Global ...
Ponzi scheme fined $1.4bn
KANIKA SOOD  |  WEDNESDAY, 30 JAN 2019
... while lending money to Shapiro-owned companies that had no income and never made interest payments on the loans, the SEC alleged in 2017. Meanwhile, Shapiro and Woodbridge paid US$64.5 million in commissions to sales agents who pitched the ...
Why indexing is big business
KARREN VERGARA  |  TUESDAY, 4 DEC 2018
... MSCI earned more than half (56%) or US$719 million of its 2017 operating revenue from its index business, according to SEC filings. For the majority of its indices, analytics and ESG products, MSCI licenses annual, recurring subscriptions in ...
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