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Showing 1001 - 1010 of 6694 results for "Securities"

ASIC, IOSCO report on debt capital raisings

ALLY SELBY  |  THURSDAY, 24 SEP 2020
... funding costs. In light of this, the regulator argues that the management of risks associated with allocation of debt securities is essential; as is managing conflicts of interest and insuring information provided to investors is not misleading. ASIC ...

J.P. Morgan set to cough up US$1bn

ALLY SELBY  |  THURSDAY, 24 SEP 2020
... this week - would squash investigations by the US Justice Department, the Commodity Futures Trading Commission and the Securities and Exchange Commission into whether traders rigged markets. This would be a record penalty for spoofing, an illegal form ...

Microcap manipulators caught out

ANNABELLE DICKSON  |  THURSDAY, 24 SEP 2020
A ring of microcap share manipulators have had their assets frozen by the Securities and Exchange Commission after procuring US$9 million in illegal profits by defrauding retail investors. The SEC alleged in a complaint that between 2013 and 2017 Ongkaruck ...

ASIC cleans up 'cash plus' funds

KANIKA SOOD  |  WEDNESDAY, 23 SEP 2020
... labelling, where ASIC found 50% and 70% respectively of assets were not cash or cash equivalents, and actually fixed-income securities and mortgages. ASIC did not name any funds, but Financial Standard previously reported Vanguard, Western Asset and ...

J.P. Morgan rolls out global accounting services

ELIZA BAVIN  |  WEDNESDAY, 23 SEP 2020
... seeks to deliver enhanced, globally consistent technology and reporting capabilities. Head of product development, Securities Services, Australia and New Zealand Tim Helyar told Financial Standard the rollout has been a big development for the group. ...

Index manager, friend charged for insider trading

KANIKA SOOD  |  TUESDAY, 22 SEP 2020
A senior index manager and his friend were charged for insider trading by the Securities and Exchange Commission for reaping over US$900,000 in illegal profits off trades made with prior knowledge of stocks that would be added to or deleted from an ...

ASIC puts SMSF auditors on notice

ANNABELLE DICKSON  |  MONDAY, 21 SEP 2020
The Australian Securities and Investments Commission imposed tougher registration conditions for two SMSF auditors following a slew of misconduct. William Krammer from Victoria and Yuk Wong from New South Wales have breached auditor independence and ...

ASX revises capital raising measures

ELIZA BAVIN  |  WEDNESDAY, 16 SEP 2020
The Australian Securities Exchange (ASX) has revised its temporary emergency capital raising measures that were put in place to assist companies during the COVID-19 crisis. The ASX said the measures will be tightened as a result of the stabilisation ...

ASIC takes Linchpin, Endeavour directors to court

ELIZABETH MCARTHUR  |  TUESDAY, 15 SEP 2020
ASIC has commenced civil proceedings against current and former directors of Linchpin Capital and Endeavour Securities for alleged breaches of duties. The defendants in the proceedings are Ian Williams, Paul Raftery, Paul Neilson and Peter Daly. Williams ...

Former analyst gets three year sentence

KANIKA SOOD  |  MONDAY, 14 SEP 2020
... and a half years (18 July 2016 and 10 February 2018), Ho invested about $1.6 million in shares and options in Big Un securities while privy to inside information from now-defunct Big Un's chief executive Richard Evertz, according to ASIC. Big Un was ...