Search Results | Showing 91 - 100 of 159 results for "US Securities" |
| | | ... Capital Markets Board (CMB) of Turkey, and Ethiopis Tafara, director of the Office of International Affairs at the US Securities and Exchange Commission as vice chairs. As part of a streamlining of IOSCO's structure, the new Board was constituted in ... |
| | | | ... Israel and Australia. In January 2012 Fairhills Capital Management received status as a registered adviser with the US Securities and Exchange Committee. The first two planned funds will be quantitative equity funds investing in the Russell 2000 index ... |
| | | | ... advisers. To date, US 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 ... |
| | | | ... managers would have reduced ways to protect against default risk. The ban is unlikely to be supported in the US. US Securities and Exchange Commission chairman Mary Schapiro told a conference last week, "Never say never, but it is hard for me to imagine ... |
| | | | ... after Hatchett was unable to pay a number of investors their capital, claiming their money had been frozen by the US Securities and Exchange Commission. In December 2009, Hatchett was sentenced to nine years' imprisonment for his involvement following ... |
| | | | ASIC has banned David Radovan, of Donnybrook, Western Australia, from providing financial services for five years after an ASIC investigation revealed concerns with the appropriateness of his advice to retail clients. The regulator found that Radovan ... |
| | | | Three Ohio pension funds have won a $840 million settlement from AIG after the insurer agreed to settle claims of accounting violations and stock price manipulation, in the tenth-largest securities class action settlement in U.S. history. Ohio Attorney ... |
| | | | ... the price moves 10 per cent or more in five minutes. This proposal follows a meeting of exchanges, including the US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), in May when approximately 30 stocks ... |
| | | | ... which might hamper their ability to communicate with stakeholders such as investors and planners. Commenting on the US Securities and Exchange Commission fraud charge against Goldman Sachs, Wells said the same message of communication applies. Wells ... |
| | | | ... earnings results. And guess which one stood out? Goldman Sachs! Yes, the same one facing fraud charges from the US Securities and Exchange Commission (SEC). The SEC filed a civil lawsuit against the investment firm last Friday (16 April) accusing it ... |
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