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Showing 91 - 100 of 602 results for %22Exchange Commission%22

RBA, ASIC provide CHESS guidance

ALLY SELBY  |  FRIDAY, 2 OCT 2020
... as soon as this can safely be achieved by the ASX, ASIC and the RBA said, taking into account user feedback from the exchange's recent consultation on a revised implementation timeline. The regulators expect the ASX to demonstrate the readiness of the ...

Manipulative trading at J.P. Morgan costs it over $1bn

ALLY SELBY  |  WEDNESDAY, 30 SEP 2020
... agreement with the US Department of Justice, the US Commodity Futures Trading Commission and the US Securities and Exchange Commission. The agreements with the three government agencies resolve investigations into historical manipulative trading practices ...

ETFs undermine product comparison: Research

KARREN VERGARA  |  TUESDAY, 29 SEP 2020
... Rainmaker research shows. Clements is advocating for reforms in the industry, firstly calling on the US Securities Exchange Commission to standardise ETP providers' website formats. The industry should also use uniform calculation methodologies for ...

ASIC, IOSCO report on debt capital raisings

ALLY SELBY  |  THURSDAY, 24 SEP 2020
... prohibitions of various sections of the Corporations Act. These include "laddering"; providing a preferred allocation in exchange for agreement to place orders in the after-market, which it argued could breach part 7.10 of the Corporations Act and prohibitions ...

J.P. Morgan set to cough up US$1bn

ALLY SELBY  |  THURSDAY, 24 SEP 2020
... investigations by the US Justice Department, the Commodity Futures Trading Commission and the Securities and Exchange Commission into whether traders rigged markets. This would be a record penalty for spoofing, an illegal form of market manipulation ...

Microcap manipulators caught out

ANNABELLE DICKSON  |  THURSDAY, 24 SEP 2020
A ring of microcap share manipulators have had their assets frozen by the Securities and Exchange Commission after procuring US$9 million in illegal profits by defrauding retail investors. The SEC alleged in a complaint that between 2013 and 2017 Ongkaruck ...

Index manager, friend charged for insider trading

KANIKA SOOD  |  TUESDAY, 22 SEP 2020
A senior index manager and his friend were charged for insider trading by the Securities and Exchange Commission for reaping over US$900,000 in illegal profits off trades made with prior knowledge of stocks that would be added to or deleted from an ...

Rapper charged over crypto scandal

ALLY SELBY  |  MONDAY, 14 SEP 2020
... of five individuals charged over his role in a fraudulent cryptocurrency offering, after the Securities and Exchange Commission found he had promoted and sold tokens on his social media accounts. Clifford Harris Jr, better known for his stage name T.I. ...

Fund manager charged with fraud

ALLY SELBY  |  FRIDAY, 4 SEP 2020
... abused his position in the bankruptcy proceedings of luxury retailer Neiman Marcus Group. The Securities and Exchange Commission has charged Daniel Kamensky with violating anti-fraud provisions, with the regulator seeking both a permanent injunction ...

LIC seeks conversion to ETF

KANIKA SOOD  |  THURSDAY, 3 SEP 2020
... in an attempt to close discount for investors. The Monash Absolute Investment Company (MA1) wants to restructure to an exchange traded managed fund (ETFMF) to re-set the market price and close the discount to investors. The conversion is outside of ASX's ...