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Showing 91 - 100 of 245 results for "Exchange Commission"

Goldman Sachs realigns reporting structure

ALLY SELBY  |  WEDNESDAY, 8 JAN 2020
... previously been reported in a different division. According to the bank's 8-K filing with the US Securities and Exchange Commission, the newly minted consumer division netted only US$124 million in pre-tax earnings in the third quarter. That's compared ...

Six charged in micro pump and dump scheme

ELIZABETH MCARTHUR  |  MONDAY, 6 JAN 2020
The US Securities and Exchange Commission announced that six people have been charged in an international microcap fraud scheme. The scheme allegedly generated $35 million of illegal sales of stock in at least 45 microcap companies. Those charged include ...

Radio host adviser revealed as alleged fraudster

ELIZABETH MCARTHUR  |  FRIDAY, 20 DEC 2019
The US Securities and Exchange Commission has charged a radio host and investment adviser with defrauding hundreds of retail clients out of millions. Keith Springer hosted a radio show called Smart Money with Keith Springer, which is how many of his ...

YouTube fundie name erased from flagship

ELIZABETH MCARTHUR  |  TUESDAY, 17 DEC 2019
... period needed for a sale which avoids a material price discount," the FCA said. "In the US, the Securities and Exchange Commission has recently adopted measures of liquidity based on this concept." The FCA is considering how the findings of this report ...

Former Goldman Sachs exec charged over $62m bribery

ELIZABETH MCARTHUR  |  TUESDAY, 17 DEC 2019
... charged with bribery in relation to the high profile 1MDB sovereign wealth scandal. The US Securities and Exchange Commission has brought charges against Leissner for allegedly engaging in a corruption scheme, through which he obtained millions by paying ...

Tropical theme Ponzi scheme busted

ELIZA BAVIN  |  FRIDAY, 22 NOV 2019
... been the victim of a tropical themed Ponzi scheme that is now under investigation by the US Securities and Exchange Commission. The SEC announced that it has filed an emergency action and obtained a temporary restraining order and asset freeze against ...

RMBS scrutiny could be loosened in US

ELIZABETH MCARTHUR  |  WEDNESDAY, 13 NOV 2019
The US Securities and Exchange Commission (SEC) has issued a call for input from investors and market participants on the asset-level disclosure requirements for residential mortgage-backed securities (RMBS). SEC chairman Jay Clayton explained that ...

Adviser scammed family, friends

ELIZABETH MCARTHUR  |  FRIDAY, 8 NOV 2019
... acquaintances. The SEC said Pierre targeted New York's Haitian community with his scheme. The US Securities and Exchange Commission alleges that Pierre promised investors returns on the franchise of 10% a month that were not at all possible to achieve. ...

Former PIMCO chief guilty in admissions scandal

ELIZABETH MCARTHUR  |  WEDNESDAY, 30 OCT 2019
... Varsity Blues college admissions bribery scandal in the United States. According to the US Securities and Exchange Commission, former PIMCO chief executive Douglas Hodge conspired with Rick Singer and others, beginning in 2012, to pay a total of $525,000 ...

Volcker Rule tweak gets green light

KANIKA SOOD  |  THURSDAY, 10 OCT 2019
... Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Securities and Exchange Commission. The Volcker Rule is the section 619 of the Dodd-Frank Wall Street Reform Act, 2010 named after former Fed chair Paul Volcker ...

Editor's Choice

Macquarie AM splashes billions on Applied Digital Corporation

MATTHEW WAI
Macquarie Asset Management (MAM) has pledged US$5 billion to NASDAQ-listed Applied Digital Corporation, which provides high-performance computing (HPC) data-centre solutions.

Subscription EVs attract HESTA, IFM interest

JAMIE WILLIAMSON
IFM Investors and HESTA, by way of its mandate with the former, will take a 49% stake in Splend Group, a provider of subscription electric vehicles.

Economist's wishlist: Lower tariffs, bond yields settling

ELIZA BAVIN
AMP deputy chief economist Diana Mousina has listed her top five wishlist items for 2025, with hopes for lower inflation and avoiding a trade war.

MUFG Pension & Market Services awards tech mandate

KARREN VERGARA
MUFG Pension & Market Services (MPMS) has awarded Tata Consultancy Services (TCS) a mandate to help transform its retirement solutions business.

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SCHRODER INVESTMENT MANAGEMENT AUSTRALIA LIMITED
Schroders Australia's Kellie Wood talks about winning a lot, so much so that it's become a well-intentioned joke with her co-workers - but it's this ambitious attitude that spurs her on every day. Eliza Bavin writes.
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