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Search ResultsShowing 91 - 100 of 100+ results for "Securities"
Regulator clamps down on misleading ESG fund names
ELIZABETH MCARTHUR  |  WEDNESDAY, 4 MAR 2020
The US Securities and Exchange Commission is calling for public comment on how funds are named, in an effort to restrict the use of potentially misleading fund names. ESG, responsible and ethical funds are under the spotlight as the SEC seeks to protect ...
Hollywood actor charged by SEC
ELIZA BAVIN  |  FRIDAY, 28 FEB 2020
The US Securities and Exchange Commission charged a prominent actor for failing to disclose payments he received for promoting an investment in a bitcoin offering. The SEC found Steven Seagal had not disclosed that he was promised $380,000 (US$250,000) ...
Janus Henderson to launch active ETF
KANIKA SOOD  |  WEDNESDAY, 26 FEB 2020
... expected to list on Chi-X soon with the ticker TACT. The active ETF will have exposure to cash and fixed interest securities, including bank and corporation debt, mortgage and other asset backed securities, and government, semi-government and supranational ...
Queensland adviser barred from industry
ALLY SELBY  |  WEDNESDAY, 26 FEB 2020
... cancelled the AFS licence of his Financial Options advisory business. Financial Options had previously held licences as a securities dealer and life insurance broker, and had been running since 1985. The cancellation comes after Financial Options' AFS ...
Analyst guilty of insider trading
ELIZA BAVIN  |  WEDNESDAY, 26 FEB 2020
... between 18 July 2016 and 10 February 2018. ASIC said Ho, and his associates, invested around $1.6 million in Big Un securities over the period. "Ho has admitted to trading while in possession of inside information relating to Big Un and to one occasion ...
Wells Fargo coughs up $4.5 billion
ALLY SELBY  |  MONDAY, 24 FEB 2020
... continued to rattle the world's fourth largest bank since 2016. The $4.5 billion (US$3 billion) settlement with the Securities and Exchange Commission (SEC) and the US Department of Justice (DOJ) resolves all criminal and civil charges against the ...
Bell FG appoints director, releases FY results
ALLY SELBY  |  FRIDAY, 21 FEB 2020
... already impressive resume; currently serving as a director of Perpetual Equity Investment Company, IMF Bentham, FIIG Securities, Utilities of Australia and Hunter Water Corporation. She is also currently the chair of Bell Asset Management. The similarly ...
New Aussie ETF to invest in FAANGs
KANIKA SOOD  |  FRIDAY, 21 FEB 2020
ETF Securities is set to launch a new exchange traded fund on the ASX that will invest in 10 companies including Facebook, Apple, Amazon and Google which together returned 45% last year. The ETF's will hold 10 stocks in equal weighting, adding names ...
Blockchain startup raises $68m, ordered to return funds
ALLY SELBY  |  FRIDAY, 21 FEB 2020
The Securities and Exchange Commission (SEC) has settled charges against a blockchain startup, after it raised $68 million through an unregistered "initial coin offering". Enigma MPC, based in San Francisco and Israel, raised approximately $68 million ...
Global index creates new ESG role
ELIZA BAVIN  |  WEDNESDAY, 19 FEB 2020
... after FTSE Russell recently expanded its sustainable investment analysis in China and Japan, with around 800 China A securities now included in sustainable investment analysis.
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