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Showing 151 - 160 of 248 results for "Exchange Commission"

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 ...

New index offers chance to invest like a billionaire

MARK SMITH  |  WEDNESDAY, 27 NOV 2013
... Soros. Devised from the quarterly disclosures investment managers are required to lodge with the Securities Exchange Commission (SEC), the index is composed of the top 30 large-cap equities listed on the S&P 500 in which these wealthy investors have ...

ASIC beefs up surveillance system

MARK SMITH  |  MONDAY, 25 NOV 2013
New upgrades to the Australian Securities and Exchange Commission's (ASIC) market surveillance system allowing the regulator to conduct multi-market supervision across futures and equities in real time are now operational. According to financial services ...

Republicans vote that advisers have no best interest duty

ALEX DUNNIN  |  FRIDAY, 1 NOV 2013
... Republican-sponsored bill requires that implementation of the fiduciary test provision be delayed until the Securities and Exchange Commission (SEC) has conducted further research on how such measures would impact retail investors. The SEC and DOL want ...

ASX endorses Henry board director bid

ALICE URIBE  |  WEDNESDAY, 25 SEP 2013
... board after their hedge fund Manikay Partners (Manikay) agreed to settle a claim with the US Securities and Exchange Commission (SEC) over improperly buying Citigroup shares in 2009. Manikay will pay the SEC $2.6 million to settle the action. The hedge ...

US regulator lifts hedge fund advertising ban

MARK SMITH  |  FRIDAY, 12 JUL 2013
... intended to protect unsophisticated investors from high risk, illiquid investment pools. The Securities and Exchange Commission (SEC) approved the change by a 4-to-1 vote. Democratic Commissioner Luis Aguilar, who voted against the changes, said in a ...

Buffett gives $2 billion to Gates Foundation

MARK SMITH  |  TUESDAY, 9 JUL 2013
... million share to each of his three children's' foundations. According to an announcement on the Securities and Exchange Commission, Buffett converted 14,000 class A shares to 21 million class B shares on 5 July to complete the donation. In 2006 Buffett ...

SEC charges US adviser with pension fund theft

ALEX DUNNIN  |  THURSDAY, 13 JUN 2013
The US regulator the Securities and Exchange Commission has charged the leader of a Detroit-based investment adviser for stealing nearly $3.1 million from a public sector pension fund. The SEC alleges that Chauncey C Mayfield, who is the founder, president ...

Bloomberg to make disclosure announcements via Twitter

ALEX DUNNIN  |  FRIDAY, 5 APR 2013
... disclosures as long as investors have been told which social media platform will be used, the US Securities and Exchange Commission (SEC) announced. The ruling applies to social media and other emerging digital communications platforms in the same way ...

SEC consults direct to the public

ALEX DUNNIN  |  TUESDAY, 5 MAR 2013
The Securities and Exchange Commission in the US is appealing directly to the public in a review of whether to make new rules about regulatory obligations for broker-dealers and retail investment advisers. The initiative stands in contrast to Australian ...