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Showing 211 - 220 of 257 results for "Exchange Commission"

Job woes

BENJAMIN ONG  |  MONDAY, 9 NOV 2009
... themselves. Yes, it is easier to blame someone else. Uncle Sam and his sidekicks the Fed and the Securities Exchange Commission - and other regulatory agencies - for allowing banks to leverage their balance sheets far, far in excess of their net worth. ...

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 ...

Europe fails at fee disclosure

RUTH LIEW  |  FRIDAY, 2 OCT 2009
... core challenges for the European fund industry is fee transparency, or lack thereof. The US Securities and Exchange Commission has "hormonised the definition and communication fund fees towards investors", however no single definition of the Total Expense ...

Regulators tighten grip on hedge funds

RUTH LIEW  |  MONDAY, 21 SEP 2009
The US' Securities and Exchange Commission and UK's Financial Services Authority have announced plans to explore common reporting and regulations of hedge funds - developments that could set the template for Australian hedge fund regulation. The two ...

Beware the leveraged ETF

RUTH LIEW  |  FRIDAY, 18 SEP 2009
... to US ETF investors have been dire enough that the products caught the attention of the US' Securities and Exchange Commission. "You could create a leverage product that last for longer than a day, maybe even a month. "But we don't have those products ...

Pres Obama proposes sweeping regulatory reforms

ALEX DUNNIN  |  THURSDAY, 18 JUN 2009
... assets under management exceed some modest threshold should be required to register with the Securities and Exchange Commission (SEC) under the Investment Advisers Act. "The advisers should be required to report information on the funds they manage that ...

Fee disclosure for intermediaries: CalPERS

RUTH LIEW  |  MONDAY, 11 MAY 2009
... engagement. Placement agents are also required to register as broker-dealers with the U.S. Securities and Exchange Commission (SEC) through the Financial Industry Regulatory Authority (FINRA) or CalPERS would decline the opportunity to retain or invest ...