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Showing 221 - 230 of 236 results for "Securities and Exchange Commission"

SEC hits fraudulent insurer with $790m penalty

The Securities and Exchange Commission (SEC), the US equivalent to Australia's financial services regulator the Australian Securities and Investments Commission (ASIC), has ordered life insurer Prudential Equity Group (PEG) to pay $790 million (US$600 ...

Big tax hits drive after-tax reporting

KATE HAGE | FRIDAY, 18 AUG 2006

... taken a particular stance on after-tax reporting, the regulator's equivalent in the US, the Securities and Exchange Commission (SEC), regulated funds reporting in 2002. Since then the SEC has required mutual funds to disclose in their prospectuses after-tax ...

Market wrap

... GM, down 6.8 per cent. The world's largest automaker said it had been subpoenaed by the US Securities and Exchange Commission, which is investigating its accounting. The Dow Jones industrial average fell 115.03 points to 10,229.95. The Standard & Poor's ...

ASIC also a budget winner

... Accounting Oversight Board and their Australian audit clients that are registered with the US Securities and Exchange Commission can have their domestic and international audit requirements regulated by ASIC. The additional funding is to allow the regulator ...

CSAM syndicated loan funds get four stars

... Construction of the portfolio has been outsourced to CSFB Alternative Capital (CSFBAC), a US Securities and Exchange Commission registered investment adviser. The portfolio is comprised of investment grade loans and low grade, or 'leveraged' loans. CSFBAC ...

Macquarie setting up US infrastructure fund

AAP | WEDNESDAY, 9 JUN 2004

... investments already lined up. The investment bank said it had lodged documents with the US Securities and Exchange Commission (SEC) to register the new vehicle, which would buy assets from existing Macquarie-managed funds and list on the New York Stock ...

Macquarie Infrastructure unit files $US355.9 mln IPO

AAP | TUESDAY, 8 JUN 2004

Macquarie Infrastructure Assets Trust filed with the US Securities and Exchange Commission today for an initial public offering of as much as $US355.9 million ($A510.95 million) in shares. The New York City-based company, part of the Macquarie group ...

Google plans share auction in $3.74 million IPO lodged with SEC

... led by Morgan Stanley and Credit Suisse First Boston, according to documents filed with the Securities and Exchange Commission. The pricing of the shares will be determined by auction, Google said, an unusual practice apparently aimed at averting the ...

St George announces Crusade Trust No. 1 program

... to be known as Crusade Global Trust No.1 of 2004. The securities will be registered by the Securities and Exchange Commission of the U.S. and will be backed by Australian residential mortgage loans originated by St.George. Securities with an equivalent ...

New twist in AMC saga

With overtones of David Tweed and National Exchange Corporation, the Australian Securities and Exchange Commission (ASIC) has taken court action against a company that made unsolicited offers to buy shares in the beleaguered Australian Magnesium Company ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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