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Showing 1 - 10 of 16 results for "Securities Exchange Commission"

Hedge fund switched traders with algorithm

KARREN VERGARA  |  THURSDAY, 10 DEC 2020
... replacing its traders with an algorithm that drastically underperformed. An investigation by the US Securities Exchange Commission found UK-based BlueCrest Capital Management omitted critical information from investors where it shifted top traders from ...

ETFs undermine product comparison: Research

KARREN VERGARA  |  TUESDAY, 29 SEP 2020
... Rainmaker research shows. Clements is advocating for reforms in the industry, firstly calling on the US Securities Exchange Commission to standardise ETP providers' website formats. The industry should also use uniform calculation methodologies for ...

Republican Party-themed ETF launches

KARREN VERGARA  |  FRIDAY, 1 SEP 2017
... "highly supportive of Republican candidates" being elected into office, documents filed with the US Securities Exchange Commission yesterday shows. The ETF is backed by Point Bridge Capital, an investment advisory services firm for high-net-worth individuals ...

SEC bestow first whistleblowers awards

ALEX DUNNIN  |  THURSDAY, 4 SEP 2014
... executive office dedicated to supporting them and even bestow awards on whistleblowers. The US Securities Exchange Commission (SEC) has just announced the recipient of a US$300,000 Whistleblower Award to Audit and Compliance Professional Who Reported ...

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 ...

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 ...

Soros family office buys into Man United

MELANIE TIMBRELL  |  WEDNESDAY, 22 AUG 2012
... Partners. News of the purchase surfaced yesterday after the Financial Times cited a filing with the US Securities Exchange Commission (SEC). Soros now owns more than three million shares in the team, making him one of the largest investors after the ...

SEC triggers industry protest storm

ALEX DUNNIN  |  THURSDAY, 22 MAR 2012
A proposal in the US by the Securities Exchange Commission, to effectively regulate money market mutual funds as if they were banks, has triggered a storm of outrage with claims it could destroy sections of the investment industry. The proposals to ...

Regulators chase social media

ELISE BURGESS  |  FRIDAY, 11 NOV 2011
... and European regulators have issued general guidance only with a loose requirement from the US Securities Exchange Commission (SEC) that investment advisers document of their use of social media while the UK's Financial Services Authority (FSA) released ...
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