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Showing 201 - 210 of 607 results for %22Exchange Commission%22

MetLife restructures US and UK operations

JAMIE WILLIAMSON  |  TUESDAY, 11 JUL 2017
... 2016 and Brighthouse Financial was registered in October 2016 via a Form 10 filed with the US Securities and Exchange Commission. At the time of the announcement MetLife said it was continuing to "evaluate and pursue structural alternatives for the planned ...

Robo-advisers expected to meet fiduciary rule

ALEX DUNNIN  |  FRIDAY, 16 JUN 2017
... the US will be subject to the same fiduciary obligations as regular human advisers, the US Securities and Exchange Commission has said. According to reports the new chairman of the SEC, Jay Clayton, is directing the SEC Division of Investment Management ...

ASIC cancels AFSL, bans former executives and fund managers

JAMIE WILLIAMSON  |  TUESDAY, 30 MAY 2017
The AFSL of an international foreign exchange brokerage service provider was cancelled by ASIC for non-compliance. The Australian arm of Gallop International was found to have repeatedly failed to comply with the conditions of its licence and its obligations ...

Macquarie to pay $2m following ASIC probe

ALEX BURKE  |  MONDAY, 22 MAY 2017
... a community benefit payment of $2 million, following the regulator's investigation into the bank's wholesale foreign exchange business. ASIC determined that on multiple occasions between 2008 and 2013, Macquarie employees disclosed confidential details ...

Barclays refunds US$97m for overcharging clients

KARREN VERGARA  |  WEDNESDAY, 17 MAY 2017
... misrepresenting services and overcharging advisory and mutual fund fees. An investigation by the US Securities and Exchange Commission found Barclays overbilled clients to the tune of US$50 million. It also failed to properly carry out an advisory service ...

Financial advisers should consider bitcoin as an asset class: Dunworth

MICHELLE BALTAZAR  |  MONDAY, 8 MAY 2017
... out of seven years." The cryptocurrency was running hot up until two months ago when the US Securities and Exchange Commission decided against the launch of bitcoin ETFs, but Dunworth said it's about the long-term game. "A lot of people say that bitcoin ...

AllianceBernstein sees global leadership shake-up

KARREN VERGARA  |  WEDNESDAY, 3 MAY 2017
... president and chief executive, while Robert B. Zoellick will serve as chair. Filings with the US Securities and Exchange Commission show AXA removed nine directors from the board and replaced them with six members. New independent directors, Barbara ...

Legalsuper awards global equities mandate

ALEX BURKE  |  WEDNESDAY, 26 APR 2017
... when providing financial services to wholesale Australian investors as it is regulated by the Securities and Exchange Commission in the US.

ASIC signs fintech agreement with Indonesia

EMMA RAPAPORT  |  MONDAY, 24 APR 2017
... should not be constrained by national borders and that it is fundamental that Australia leverages this to "share views, exchange information and to discuss some of the challenges that this can create for fintech businesses and the community." "This agreement ...

Goldman Sachs launches junk bond ETF

EMMA RAPAPORT  |  TUESDAY, 28 MAR 2017
... ETF which will invest in high-yield corporate debt, according to documents filed with the US Securities and Exchange Commission. The ETF will track an index of dollar-denominated bonds sold by US or Canadian companies that have minimum of one year to ...

Editor's Choice

Australian Retirement Trust people chief to depart

ELIZABETH FRY
Australian Retirement Trust has confirmed the departure of chief people officer Helen Jackson, who will leave at the end of the financial year.

SSGA loses $2.4bn in two months

KARREN VERGARA
State Street Global Advisors (SSGA) suffered $2.4 billion in net outflows over the last two months of 2023, the majority of which hit its Australian and international equities products.

AFCA seeks industry feedback on approaches

ELIZA BAVIN
The financial complaints authority is asking the industry for feedback on how it approaches issues and reaches decisions.

Apex, ACA partner to broaden client services

ANDREW MCKEAN
Apex Group and ACA Group have formed a partnership to offer their clients a wider range of services.

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