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Showing 91 - 100 of 129 results for "The Securities and Exchange Commission"

Fears Volcker Rule will hit sovereign bond trading

ALEX DUNNIN  |  THURSDAY, 9 FEB 2012
... of Treasury's Office of the Comptroller of the Currency, the Federal Reserve Board and the Securities and Exchange Commission. The legislation is now up for public consultation with the consultation window being extended until next week. Contributing ...

Volcker Rule could slash Wall Street incomes 25%

ALEX DUNNIN  |  THURSDAY, 13 OCT 2011
... Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency and the Securities and Exchange Commission, the most vulnerable firms will be fixed income trading houses because they draw higher proportions of their revenue from ...

US manager charged with fraud

RUTH LIEW  |  WEDNESDAY, 19 JAN 2011
... purportedly liquid, cash management strategy that engaged in market transactions, according to the Securities and Exchange Commission. However, in numerous communications with clients and prospective clients, they deliberately overstated the value and ...

New rules for investment advisers: SEC

MEDIA RELEASE  |  MONDAY, 22 NOV 2010
The Securities and Exchange Commission is proposing new rules to strengthen the regulator's oversight of investment advisers. The SEC's proposed rules will implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. This includes ...

Demystifying the "flash crash"

JOHN MCDULING  |  WEDNESDAY, 20 OCT 2010
... the abnormal market behaviour, the US Commodity Trading and Futures Commission (CFTC) and the Securities and Exchange Commission (SEC) concluded that a large algorithmic sell order in futures markets, executed by a mutual funds manager to hedge ETF exposure ...

Hedge fund adviser gets $2.7m fine

RUTH LIEW  |  FRIDAY, 24 SEP 2010
... have to cough up $2.7 million to settle SEC charges for breaching short selling rules. The Securities and Exchange Commission yesterday charged Dallas-based Carlson Capital for breaching a regulation which prevents short selling that can "reduce proceeds ...

Fuld me twice

JOHN MCDULING  |  THURSDAY, 2 SEP 2010
... Bank of New York. "Instead, the Federal Reserve, the United States Treasury Department, the Securities and Exchange Commission, and others tried hard to save it - not for its own sake, of course, but for the sake of all the families and businesses who ...

SEC charges New Jersey with fraud

RUTH LIEW  |  FRIDAY, 27 AUG 2010
... bond offerings and underfunding two of the state's largest pension funds. Mid this month, the Securities and Exchange Commission charged New Jersey with securities fraud for "misrepresenting and failing to disclose to investors in billions of dollars ...

Saved by BP and Goldman

BENJAMIN ONG  |  FRIDAY, 16 JUL 2010
... days. Lawsuit settled. Goldman Sachs scripts rose by 4.4 per cent first on speculation that the Securities and Exchange Commission (SEC) would announce a settlement of its fraud case. The SEC did after the closing bell. In settling the fraud charges ...

Market Wrap - Morning

AAP  |  FRIDAY, 16 JUL 2010
... Goldman Sachs Group is settling the government's civil fraud charges. As word spread that the Securities and Exchange Commission had scheduled a late-afternoon announcement, investors began buying on the belief that the government and Goldman Sachs had ...