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Showing 121 - 130 of 233 results for "Exchange Commission"

ASIC user-pay model "eminently sensible": SEC veteran

ALEX BURKE  |  WEDNESDAY, 20 APR 2016
... regulator, according to former assistant director of the division of enforcement at the US Securities and Exchange Commission Jordan Thomas. Speaking to Financial Standard, Thomas, now chair of Labaton Sucharow's whistleblower representation practice ...

Australian system needs "substantial reassessment": SEC veteran

ALEX BURKE  |  TUESDAY, 19 APR 2016
... potential Royal Commission, former assistant director of the division of enforcement at the US Securities and Exchange Commission Jordan Thomas has said Australia's financial system could benefit from "substantial reassessment." Speaking to Financial ...

CalPERS urges Rio Tinto to report climate change risk

DARREN SNYDER  |  TUESDAY, 12 APR 2016
... about 250,000 shares in Rio Tinto and the fund recently filed an exempt solicitation with the Securities and Exchange Commission (SEC), urging fellow Rio shareowners to vote in favor of the proxy ballot resolution. Rio Tinto is holding its AGM in London ...

Industry groups slam SEC plan to limit derivatives

WHITNEY FITZSIMMONS  |  THURSDAY, 31 MAR 2016
US industry groups have hit back at a proposal by the Securities and Exchange Commission (SEC) to try to limit investors' exposure to risk. In December Mary Jo White, the chair of the US corporate watchdog said a funds' use of certain instruments can ...

Goldman Sachs calls time on BRICs

LAURA MILLAN  |  THURSDAY, 12 NOV 2015
... the term in 2001, the move effectively brings the BRIC era to an end. GSAM notified the US Securities and Exchange Commission (SEC) and said it blended the strategy into the Goldman Sachs Emerging Markets Equity Fund because it doesn't expect "significant ...

ASIC grilled on whistleblower compensation

LAURA MILLAN  |  MONDAY, 9 NOV 2015
... those individuals who are responsible are dealt with," Medcraft said. At the same time, the US Securities and Exchange Commission (SEC) announced an award of $325,000 for a former investment firm employee who tipped the regulator with information that ...

FSI panellist challenges ASIC register sale

ALEX BURKE  |  WEDNESDAY, 23 SEP 2015
... be] available free of charge to users." This would potentially result in a system like the US Securities and Exchange Commission's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) database, which can be accessed freely online by the public. ...

Hedge funds face brain drain

LAURA MILLAN, MARK SMITH  |  MONDAY, 24 AUG 2015
... Quantum business from a hedge fund to a family office. In doing so he escaped the scrutiny of the Securities and Exchange Commission. Brown thinks the move has opened the floodgates and other managers will follow. He expressed concern that the trend ...

SEC adviser exams could cost US$310m

ALEX DUNNIN  |  MONDAY, 8 SEP 2014
... would apply to firms managing more than US$100 million which are registered directly with the Securities and Exchange Commission (SEC). Firms with less than this threshold in funds under management are normally registered through State authorities and ...

SEC bestow first whistleblowers awards

ALEX DUNNIN  |  THURSDAY, 4 SEP 2014
... executive office dedicated to supporting them and even bestow awards on whistleblowers. The US Securities Exchange Commission (SEC) has just announced the recipient of a US$300,000 Whistleblower Award to Audit and Compliance Professional Who Reported ...