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Showing 91 - 100 of 157 results for "US Securities"

Regulators chase social media

ELISE BURGESS  |  FRIDAY, 11 NOV 2011
... 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 ...

US unlikely to follow EU short selling ban

ALEX DUNNIN  |  TUESDAY, 25 OCT 2011
... 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 ...

Investors lose $7m in Qld scam

ASIC RELEASE  |  THURSDAY, 18 NOV 2010
... 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 ...

Infocus planner banned by ASIC

ASIC RELEASE  |  WEDNESDAY, 27 OCT 2010
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 ...

US pension funds get $800m from class action

MEDIA RELEASE  |  MONDAY, 19 JUL 2010
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 ...

US wants pause button in volatile markets

MICHAEL HOBBS  |  WEDNESDAY, 19 MAY 2010
... 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 ...

Trust is a hard currency: research

RUTH LIEW  |  WEDNESDAY, 21 APR 2010
... 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 ...

America's Eyjafjallajokull

BENJAMIN ONG  |  WEDNESDAY, 21 APR 2010
... 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 ...

Market Wrap - Morning

AAP  |  TUESDAY, 20 APR 2010
... under pressure although they also got a lift from Citigroup's strong return to profit. Dealers said some feared the US Securities and Exchange Commission might conduct a wider crackdown while Goldman Sachs has strongly denied any wrongdoing. They said ...

SEC launches derivatives review

SEC RELEASE  |  FRIDAY, 26 MAR 2010
The US Securities and Exchange Commission (SEC) is reviewing the use of derivatives by mutual funds, exchange traded funds and investment firms. SEC staff will explore a number of issues relating to the investment strategy and the regulations imposed ...