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Showing 191 - 200 of 257 results for "Exchange Commission"

NY firm defrauds billion dollar CDOs

RUTH LIEW  |  TUESDAY, 22 JUN 2010
The US' Securities and Exchange Commission has charged a New York-based investment firm and three of its affiliates for defrauding four multi-billion dollar collateralised debt obligations. According to a press statement, the SEC alleged ICP Asset Management ...

US Commission subpoenas Goldman Sachs

RUTH LIEW  |  TUESDAY, 15 JUN 2010
... production of books, records, correspondence, memoranda, papers, and documents." In April, the Securities and Exchange Commission (SEC) charged Goldman Sachs and one of its vice presidents for fraud relating to subprime mortgages. The SEC is charging ...

US wants pause button in volatile markets

MICHAEL HOBBS  |  WEDNESDAY, 19 MAY 2010
... cent or more in five minutes. This proposal follows a meeting of exchanges, including the US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), in May when approximately 30 stocks on the S&P 500 fell in ...

Market Wrap - Morning

AAP  |  MONDAY, 10 MAY 2010
... that a dealer there had mistaken billions for millions setting off the record plunge. But the Securities and Exchange Commission and the Commodity Futures Trading Commission said the agencies and exchanges were "to review the unusual trading activity" ...

Death by algorithm

BENJAMIN ONG  |  FRIDAY, 7 MAY 2010
... stock to another, from one market to another. Representatives of the major US exchanges and the Securities and Exchange Commission (SEC) are still doing the autopsy on last night's crash. But early evidence suggests that the conclusion would be "death ...

Market Wrap - Morning

AAP  |  MONDAY, 3 MAY 2010
... federal prosecutors. The storied investment bank already faces civil charges, brought by the Securities and Exchange Commission, alleging it failed to tell investors that one of its products was partially designed by a hedge fund that bet it would fail. ...

FSA starts Goldman Sachs investigation

RUTH LIEW  |  THURSDAY, 22 APR 2010
... investigation into Goldman Sachs' alleged fraud activities, following charges to the firm by the Securities and Exchange Commission in the US. The FSA said in a short statement yesterday that it will start its investigation after the SEC charged Goldman ...

Trust is a hard currency: research

RUTH LIEW  |  WEDNESDAY, 21 APR 2010
... ability to communicate with stakeholders such as investors and planners. Commenting on the US Securities and Exchange Commission fraud charge against Goldman Sachs, Wells said the same message of communication applies. Wells worked with research house ...

America's Eyjafjallajokull

BENJAMIN ONG  |  WEDNESDAY, 21 APR 2010
... guess which one stood out? Goldman Sachs! Yes, the same one facing fraud charges from the US Securities and Exchange Commission (SEC). The SEC filed a civil lawsuit against the investment firm last Friday (16 April) accusing it of "making materially ...

Market Wrap - Midday

AAP  |  TUESDAY, 20 APR 2010
... Sachs. The Dow Jones Industrial Average closed up 73.39 points (0.67 per cent) at 11,092.05. The Securities and Exchange Commission filed civil charges against Goldman Sachs on Friday, alleging the New York investment bank misled investors about the ...