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Showing 191 - 200 of 236 results for "Securities and Exchange Commission"

QIC taps lifecycle strategies

COMPANY RELEASE  |  TUESDAY, 23 FEB 2010
... on the provision of retirement income. He was the only academic invited to present at the US Securities and Exchange Commission and the Department of Labor Joint Hearing on target date funds in June 2009. Joining Drew at QIC to work on this initiative ...

CalPERS opens black book of placement agents...

COMPANY RELEASE  |  MONDAY, 18 JAN 2010
... news stories following various actions brought by the New York Attorney General and the U.S. Securities and Exchange Commission were asked to voluntarily provide retroactive placement agent information. Over 90 percent of CalPERS external managers who ...

Market Wrap - Morning

AAP  |  WEDNESDAY, 13 JAN 2010
... Bank of America tumbled 3.43 per cent to $US16.35 after the US stock market regulator, the Securities and Exchange Commission, moved to expand its charges against the financial giant for hiding information from investors about its acquisition of Merrill ...

Liar, liar, hedge funds on fire

MICHELLE BALTAZAR  |  WEDNESDAY, 25 NOV 2009
... for the role of the regulator on stopping another Madoff-style collapse, Brown said that the Securities and Exchange Commission (SEC) is ill-equipped to police and punish all hedge funds - some 20,000 of them in the US alone. "Investors who rely on the ...

Wingate appoints senior analyst

COMPANY RELEASE  |  TUESDAY, 24 NOV 2009
... Accountants. MacLeod is a chartered financial analyst; holds a Series 17 and 63 registration with the Securities and Exchange Commission (SEC) in the US; and is a Financial Services Authority (FSA) registered representative in the UK. Wingate Asset Management ...

CalPERS champions placement agent reform

COMPANY RELEASE  |  MONDAY, 23 NOV 2009
... services performed. The policy also requires agents to register as broker-dealers with the U.S. Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Authority (FINRA) or CalPERS will decline the opportunity to retain or invest ...

Four pillars of a good hedge fund: Ashton

RUTH LIEW  |  MONDAY, 26 OCT 2009
... learned and applied in an Australian context. "First you have to register with the SEC [US Securities and Exchange Commission]... you need to disclose your positions to them on a quarterly basis and they monitor what you're doing. "Next you have to have ...

Galleon sinks $4bn

MICHELLE BALTAZAR  |  THURSDAY, 22 OCT 2009
... set, Rajaratnam became the latest high profile hedge fund manager criminally charged by the Securities and Exchange Commission for alleged insider trading. Robert Khuzami, director of the SEC's Division of Enforcement, said Rajaratnam was "not a master ...

Billionaire faces insider trading noose

SEC RELEASE  |  MONDAY, 19 OCT 2009
... for insider trading that allegedly saw him pocket over $27 million in illicit gains. The US Securities and Exchange Commission, which laid the charges against Rajaratnam, also charged six others involved in the scheme, including senior executives at ...

CalPERS reviews US$50m fees to placement agent

MICHELLE BALTAZAR  |  FRIDAY, 16 OCT 2009
... 1993 and 1995. "The placement agent industry has been a focus of state authorities and the Securities and Exchange Commission over the last year, and we believe it prudent to conduct a full review of the matters related to these recent disclosures to ...