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Showing 121 - 130 of 247 results for "Exchange Commission"

SEC cracks down on fee transparency

KARREN VERGARA  |  FRIDAY, 9 FEB 2018
The US Securities and Exchange Commission (SEC) announced it will crackdown on financial product providers' fee disclosures the year ahead in a bid to protect mum and dad investors. The SEC made it clear that one of its main priorities this year is ...

Bitcoin bubble will burst in 2018: Survey

KARREN VERGARA  |  MONDAY, 22 JAN 2018
... illegally in violation of existing laws - raises investor protection concerns," IOSCO said. The US Securities and Exchange Commission also issued a stern warning to the asset management industry about the growth in cryptocurrencies and cryptocurrency-related ...

Industry rolls out anti-sexual harassment ETF

KARREN VERGARA  |  THURSDAY, 30 NOV 2017
... index provider Equileap and Dallas-based investment manager Impact Shares. Filings with the US Securities and Exchange Commission shows the fund is aiming to measure the performance of large caps of US$2 billion that are "empowering to women." The companies ...

AllianceBernstein slashes retail fees

ALEX BURKE  |  WEDNESDAY, 1 NOV 2017
... leader in the conversation about changing fee models in active management, referring to the Securities and Exchange Commission's recent approval in the US of six AB funds with a new performance-based fee structure. It's a similar approach to the one ...

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 ...