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Showing 141 - 150 of 236 results for "Securities and Exchange Commission"

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 ...

CBA appoints international experts to oversee advice program

LAURA MILLAN | MONDAY, 11 AUG 2014

... supervising the majority of US banking assets. Schapiro served as the 29th chair of the US Securities and Exchange Commission from 2009 - 2012. The Open Advice Review program was set up after media reports and a Senate Economics Committee inquiry unveiled ...

Buffett discloses new Verizon investment

AAP | FRIDAY, 16 MAY 2014

... the changes to its $US106 billion ($A114.69 billion) portfolio in documents filed with the Securities and Exchange Commission that show what the company owned at the end of March. The Verizon investment was the only new one disclosed. Berkshire bought ...

FBI launches probe into high speed traders

MARK SMITH | THURSDAY, 3 APR 2014

... high frequency trading (HFT) firms are involved in insider trading. According to reports, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission are looking into ties between high-speed traders and major exchanges ...

SEC prioritises cybersecurity

ALEX DUNNIN | THURSDAY, 13 MAR 2014

... Nevertheless there is a view that cybersecurity is an issue primarily for large firms, but the Securities and Exchange Commission (SEC) has signalled that it's equally important for small firms because every point of access to financial system network ...

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BT appoints new head of strategy

KARREN VERGARA

A former Allianz Retire+ executive has joined BT as the new head of strategy.

ASX sees trade volumes soar in May

MATTHEW WAI

ASX saw a substantial growth in trade volumes last month, despite continued lackluster movement in IPOs.

Otivo launches AI-powered financial advice

MATTHEW WAI

Otivo has launched a mobile app for Australians to access licensed advice powered by AI.

Munro expands access to climate focused fund

VINNY VUCAGO

The Munro Global Growth Climate Leaders PIE Fund has been opened to retail investors in New Zealand.

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