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Showing 201 - 210 of 257 results for "Exchange Commission"

Market Wrap - Morning

AAP  |  TUESDAY, 20 APR 2010
... final trades. The climb came after the index tumbled more than 100 points on Friday after the Securities and Exchange Commission (SEC) announced civil fraud charges on Goldman. The tech-rich Nasdaq composite did not manage to make it out of the red ...

Goldman Sachs accused of fraud

SEC RELEASE  |  MONDAY, 19 APR 2010
The Securities and Exchange Commission (SEC) has charged Goldman Sachs and one of its vice presidents for fraud relating to subprime mortgages. The SEC is charging Goldman Sachs for defrauding investors by mis-stating and omitting key facts about a ...

Market Wrap - Morning

AAP  |  MONDAY, 19 APR 2010
... mortgage security similar to those blamed for the sub-prime mortgage debacle. News that the Securities and Exchange Commission (SEC) had brought civil charges against the Wall Street giant sent all major US indices plummeting, with financial firms hit ...

SEC launches derivatives review

SEC RELEASE  |  FRIDAY, 26 MAR 2010
The US Securities and Exchange Commission (SEC) is reviewing the use of derivatives by mutual funds, exchange traded funds and investment firms. SEC staff will explore a number of issues relating to the investment strategy and the regulations imposed ...

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 ...