Search Results | Showing 101 - 110 of 236 results for "Securities and Exchange Commission" |
| | | ... period needed for a sale which avoids a material price discount," the FCA said. "In the US, the Securities and Exchange Commission has recently adopted measures of liquidity based on this concept." The FCA is considering how the findings of this report ... |
| | | | ... charged with bribery in relation to the high profile 1MDB sovereign wealth scandal. The US Securities and Exchange Commission has brought charges against Leissner for allegedly engaging in a corruption scheme, through which he obtained millions by paying ... |
| | | | ... been the victim of a tropical themed Ponzi scheme that is now under investigation by the US Securities and Exchange Commission. The SEC announced that it has filed an emergency action and obtained a temporary restraining order and asset freeze against ... |
| | | | The US Securities and Exchange Commission (SEC) has issued a call for input from investors and market participants on the asset-level disclosure requirements for residential mortgage-backed securities (RMBS). SEC chairman Jay Clayton explained that ... |
| | | | ... acquaintances. The SEC said Pierre targeted New York's Haitian community with his scheme. The US Securities and Exchange Commission alleges that Pierre promised investors returns on the franchise of 10% a month that were not at all possible to achieve. ... |
| | | | ... Varsity Blues college admissions bribery scandal in the United States. According to the US Securities and Exchange Commission, former PIMCO chief executive Douglas Hodge conspired with Rick Singer and others, beginning in 2012, to pay a total of $525,000 ... |
| | | | ... Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Securities and Exchange Commission. The Volcker Rule is the section 619 of the Dodd-Frank Wall Street Reform Act, 2010 named after former Fed chair Paul Volcker ... |
| | | | ... Global regulators are taking notice of the maturation of exchange-traded funds, with the US Securities and Exchange Commission adopting a new rule to modernise their regulation. Twenty seven years on from the launch of the first ETF, the SEC has voted ... |
| | | | ... University of Arizona last month, looked at all investment advisory firms registered with the US Securities and Exchange Commission (SEC), their client base, and political contributions. The research found that presence of a government fund client (for ... |
| | | | According to documents filed with the Securities and Exchange Commission, Vanguard is launching a new digital-only financial planning service through Vanguard Advisors. The offering, which is being piloted, will be called Vanguard Digital Advisor and ... |
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