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Showing 131 - 140 of 236 results for "Securities and Exchange Commission"

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 ...

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 ...