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Showing 111 - 120 of 129 results for "The Securities and Exchange Commission"

Market Wrap - Morning

AAP  |  MONDAY, 19 APR 2010
... mortgage security similar to those blamed for the sub-prime mortgage debacle. News that the Securities and Exchange Commission (SEC) had brought civil charges against the Wall Street giant sent all major US indices plummeting, with financial firms hit ...

Market Wrap - Morning

AAP  |  WEDNESDAY, 13 JAN 2010
... Bank of America tumbled 3.43 per cent to $US16.35 after the US stock market regulator, the Securities and Exchange Commission, moved to expand its charges against the financial giant for hiding information from investors about its acquisition of Merrill ...

Liar, liar, hedge funds on fire

MICHELLE BALTAZAR  |  WEDNESDAY, 25 NOV 2009
... for the role of the regulator on stopping another Madoff-style collapse, Brown said that the Securities and Exchange Commission (SEC) is ill-equipped to police and punish all hedge funds - some 20,000 of them in the US alone. "Investors who rely on the ...

Wingate appoints senior analyst

COMPANY RELEASE  |  TUESDAY, 24 NOV 2009
... Accountants. MacLeod is a chartered financial analyst; holds a Series 17 and 63 registration with the Securities and Exchange Commission (SEC) in the US; and is a Financial Services Authority (FSA) registered representative in the UK. Wingate Asset Management ...

Galleon sinks $4bn

MICHELLE BALTAZAR  |  THURSDAY, 22 OCT 2009
... set, Rajaratnam became the latest high profile hedge fund manager criminally charged by the Securities and Exchange Commission for alleged insider trading. Robert Khuzami, director of the SEC's Division of Enforcement, said Rajaratnam was "not a master ...

CalPERS reviews US$50m fees to placement agent

MICHELLE BALTAZAR  |  FRIDAY, 16 OCT 2009
... 1993 and 1995. "The placement agent industry has been a focus of state authorities and the Securities and Exchange Commission over the last year, and we believe it prudent to conduct a full review of the matters related to these recent disclosures to ...

Pres Obama proposes sweeping regulatory reforms

ALEX DUNNIN  |  THURSDAY, 18 JUN 2009
... assets under management exceed some modest threshold should be required to register with the Securities and Exchange Commission (SEC) under the Investment Advisers Act. "The advisers should be required to report information on the funds they manage that ...

Emergency Economic Stabilization Act of 2008

BENJAMIN ONG  |  MONDAY, 29 SEP 2008
... Board composed of the Federal Reserve Chairman, the Treasury Secretary and the Chairman of the Securities and Exchange Commission, the Director of the Federal Home Finance Agency and the Housing and Urban Development Secretary, will oversee and monitor ...

AIMA and IFSA respond to temp shorting ban

MICHELLE BALTAZAR, MICHAEL HOBBS  |  MONDAY, 22 SEP 2008
... with AIMA UK about the issue. "We are alarmed by ASIC's haste to ban all short selling. The Securities and Exchange Commission in the US (SEC) and Financial Services Authority in the UK (FSA) are only banning naked short sales and restricting other forms ...

Greater fool with no shorts

BENJAMIN ONG  |  MONDAY, 22 SEP 2008
... initiative allowing banks to borrow money for the purchase of Asset-Backed Commercial Paper. The Securities and Exchange Commission enacted a temporary ban on the short selling of 799 financial stocks. The ban is in place from 18 September to 2 October ...