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Showing 171 - 180 of 257 results for "Exchange Commission"

Trio: ASIC evidence insufficient to prosecute Flader

LINDA HAUSKEN  |  WEDNESDAY, 6 JUN 2012
... the Trio Capital Group. The report also said that Flader is well-known to the United States Securities and Exchange Commission (SEC). Australian Securities and Investments Commission (ASIC) said it will continue to provide relevant information relating ...

Medcraft to chair IOSCO

MELANIE TIMBRELL  |  FRIDAY, 18 MAY 2012
... (CMB) of Turkey, and Ethiopis Tafara, director of the Office of International Affairs at the US Securities and Exchange Commission as vice chairs. As part of a streamlining of IOSCO's structure, the new Board was constituted in Beijing through a three-way ...

ETN fears grow following price plunges

ALEX DUNNIN  |  TUESDAY, 10 APR 2012
... has plunged due to its promoter stopping the issuing of supporting stock and they fear the Securities and Exchange Commission's inertia is because they do not understand the products themselves. "Wall Street has done such an outstanding job of manufacturing ...

SEC triggers industry protest storm

ALEX DUNNIN  |  THURSDAY, 22 MAR 2012
A proposal in the US by the Securities Exchange Commission, to effectively regulate money market mutual funds as if they were banks, has triggered a storm of outrage with claims it could destroy sections of the investment industry. The proposals to ...

Fears Volcker Rule will hit sovereign bond trading

ALEX DUNNIN  |  THURSDAY, 9 FEB 2012
... of Treasury's Office of the Comptroller of the Currency, the Federal Reserve Board and the Securities and Exchange Commission. The legislation is now up for public consultation with the consultation window being extended until next week. Contributing ...

Regulators chase social media

ELISE BURGESS  |  FRIDAY, 11 NOV 2011
... and European regulators have issued general guidance only with a loose requirement from the US Securities Exchange Commission (SEC) that investment advisers document of their use of social media while the UK's Financial Services Authority (FSA) released ...

US unlikely to follow EU short selling ban

ALEX DUNNIN  |  TUESDAY, 25 OCT 2011
... Europe have reacted against an EU limited ban on short-selling of sovereign bonds but in the US the Securities Exchange Commission said it is unlikely to follow suit. Last week the European Union announced a ban on naked short selling of EU sovereign ...

Volcker Rule could slash Wall Street incomes 25%

ALEX DUNNIN  |  THURSDAY, 13 OCT 2011
... Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency and the Securities and Exchange Commission, the most vulnerable firms will be fixed income trading houses because they draw higher proportions of their revenue from ...

US manager charged with fraud

RUTH LIEW  |  WEDNESDAY, 19 JAN 2011
... purportedly liquid, cash management strategy that engaged in market transactions, according to the Securities and Exchange Commission. However, in numerous communications with clients and prospective clients, they deliberately overstated the value and ...

New rules for investment advisers: SEC

MEDIA RELEASE  |  MONDAY, 22 NOV 2010
The Securities and Exchange Commission is proposing new rules to strengthen the regulator's oversight of investment advisers. The SEC's proposed rules will implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. This includes ...