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Showing 111 - 120 of 247 results for "Exchange Commission"

US relaxes active ETF disclosures

KANIKA SOOD  |  TUESDAY, 16 APR 2019
... 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 disclosures. The SEC had previously rejected ...

Advisers to return US$125m in fees

KANIKA SOOD  |  TUESDAY, 12 MAR 2019
... 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 St. Investment Advisors ...

Ponzi scheme fined $1.4bn

KANIKA SOOD  |  WEDNESDAY, 30 JAN 2019
... returns annually generated from issuing loans to third-party commercial property owners, the US Securities and Exchange Commission alleged. Many of the investors were seniors, investing their retirement savings. In reality, Woodbridge was relying on ...

Celebrities cop $1m crypto fine

JAMIE WILLIAMSON  |  MONDAY, 3 DEC 2018
... Mayweather and music producer DJ Khaled have become the first people to be charged by the US Securities and Exchange Commission for the unlawful promotion of initial coin offerings. Floyd Mayweather and DJ Khaled - real name Khaled Mohamed Khaled - have ...

Elon Musk steps down as Tesla chair

KANIKA SOOD  |  TUESDAY, 2 OCT 2018
... settled a tweet-led securities fraud charge with the US corporate regulator. Last week, the Securities and Exchange Commission charged Musk with securities fraud over his August 7 tweets in which he said he would take the company private at $420 per ...

Elon Musk charged with securities fraud

KANIKA SOOD  |  FRIDAY, 28 SEP 2018
... about taking Tesla private have seen him charged with securities fraud by the US regulator. The Securities and Exchange Commission is also seeking court approval to stop Musk from serving as an officer or a director of a public company. The matter relates ...

Parametric expands alternative risk premia offering

KANIKA SOOD  |  TUESDAY, 26 JUN 2018
Parametric has teamed up with a California-based smart beta and asset allocation specialist to deliver a strategy for Australian institutional investors aiming to top the standard 'black box' hedge fund approach to investing. Systematic Alternative ...

ASIC tightens grip on ICO issuers

KANIKA SOOD  |  WEDNESDAY, 2 MAY 2018
... regulator has been going after ICOs that don't meet regulatory requirements. In December, the US Securities and Exchange Commission stepped up to halt the ICO of a blockchain meal review app Munchee that sought to raise $15 million. SEC argued Munchee's ...

US regulator to extend fiduciary rule

JAMIE WILLIAMSON  |  FRIDAY, 20 APR 2018
... confusion around the differing standards to which different industry professionals are held. The Securities and Exchange Commission is proposing to enhance the quality and transparency of investors' relationships with investment advisers and brokers ...

Credit Suisse under investigation

JAMIE WILLIAMSON  |  FRIDAY, 16 FEB 2018
... Foreign Corrupt Practices Act and other civil statutes. The Department of Justice and the US Securities and Exchange Commission are among those investigating whether Credit Suisse hired referrals from government agencies and other state-owned entities ...