Search Results | Showing 101 - 110 of 446 results for %22Securities and Exchange Commission%22 |
| | | ... Thuong Harvison from 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 ... |
| | | | 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 ... |
| | | | ... careers. Tallahassee-based Cambridge Capital Group Advisors and its two former principals have been charged by the Securities and Exchange Commission with defrauding investors, most of which were retired NFL players. The firm and its then-principals ... |
| | | | ... one of the many portfolio managers. Rege mispriced the investments of a private fund from June 2016 to April 2017, Securities and Exchange Commission orders said. As a result of this, the fund's net asset value sent out to investors in periodic statements ... |
| | | | The giant's securities business has been ordered to pay back US $25 million to clients misled by its bond traders, in an enforcement action by the US corporate regulator. Many of Nomura's bond traders made false and misleading statements to customers ... |
| | | | ... client assets. In a settlement, State Street Bank and Trust Company has paid $125 million (USD88 million) after the Securities and Exchange Commission brought charges against the institution for routinely overbilling clients between 1998 and 2015. The ... |
| | | | The US Securities and Exchange Commission has adopted a package of fiduciary rules to protect retail investors from financial advisers who put their self-interests first. Under the new rules called Regulation Best Interest and Form CRS Relationship ... |
| | | | Australia's active ETF industry could benefit as the US securities regulator softens its stance on daily disclosures for the segment. The U.S. Securities and Exchange Commission last week allowed an ETF provider to trade active ETFs without making daily ... |
| | | | ... about US$125m million to retail customers after a regulatory clampdown on inadequate fee disclosures last year. The Securities and Exchange Commission charged 79 people, including well-known names such as AXA Advisors, Deutsche Bank Securities, LaSalle ... |
| | | | ... on the newly-created role of executive director of strategy and policy. Prior to joining ISA, May worked at the US Securities and Exchanges Commission (SEC) where he was counsel to Commissioner Luis A. Aguilar. He also assisted with the regulatory response ... |
|
