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Showing 111 - 120 of 233 results for "Exchange Commission"

Republican Party-themed ETF launches

KARREN VERGARA  |  FRIDAY, 1 SEP 2017
... "highly supportive of Republican candidates" being elected into office, documents filed with the US Securities Exchange Commission yesterday shows. The ETF is backed by Point Bridge Capital, an investment advisory services firm for high-net-worth individuals ...

MetLife restructures US and UK operations

JAMIE WILLIAMSON  |  TUESDAY, 11 JUL 2017
... 2016 and Brighthouse Financial was registered in October 2016 via a Form 10 filed with the US Securities and Exchange Commission. At the time of the announcement MetLife said it was continuing to "evaluate and pursue structural alternatives for the planned ...

Robo-advisers expected to meet fiduciary rule

ALEX DUNNIN  |  FRIDAY, 16 JUN 2017
... the US will be subject to the same fiduciary obligations as regular human advisers, the US Securities and Exchange Commission has said. According to reports the new chairman of the SEC, Jay Clayton, is directing the SEC Division of Investment Management ...

Barclays refunds US$97m for overcharging clients

KARREN VERGARA  |  WEDNESDAY, 17 MAY 2017
... misrepresenting services and overcharging advisory and mutual fund fees. An investigation by the US Securities and Exchange Commission found Barclays overbilled clients to the tune of US$50 million. It also failed to properly carry out an advisory service ...

Financial advisers should consider bitcoin as an asset class: Dunworth

MICHELLE BALTAZAR  |  MONDAY, 8 MAY 2017
... out of seven years." The cryptocurrency was running hot up until two months ago when the US Securities and Exchange Commission decided against the launch of bitcoin ETFs, but Dunworth said it's about the long-term game. "A lot of people say that bitcoin ...

AllianceBernstein sees global leadership shake-up

KARREN VERGARA  |  WEDNESDAY, 3 MAY 2017
... president and chief executive, while Robert B. Zoellick will serve as chair. Filings with the US Securities and Exchange Commission show AXA removed nine directors from the board and replaced them with six members. New independent directors, Barbara ...

Legalsuper awards global equities mandate

ALEX BURKE  |  WEDNESDAY, 26 APR 2017
... when providing financial services to wholesale Australian investors as it is regulated by the Securities and Exchange Commission in the US.

Goldman Sachs launches junk bond ETF

EMMA RAPAPORT  |  TUESDAY, 28 MAR 2017
... ETF which will invest in high-yield corporate debt, according to documents filed with the US Securities and Exchange Commission. The ETF will track an index of dollar-denominated bonds sold by US or Canadian companies that have minimum of one year to ...

JPMorgan Chase to pay bribery fines

KERRIE SYDEE  |  FRIDAY, 18 NOV 2016
... & Co has agreed to pay more than US$130 million to settle charges brought against it by the Securities and Exchange Commission (SEC) after winning business from clients and corruptly influencing government officials in Asia Pacific by employing relatives ...

US mulls borrowing limit on leveraged ETFs

MARK SMITH  |  WEDNESDAY, 8 JUN 2016
US financial regulator, the Securities and Exchange Commission (SEC), is considering introducing measures to restrict how much mutual funds can invest in leveraged exchange traded funds (ETFs). The product type gives investors geared exposure to a given ...