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Showing 231 - 240 of 257 results for "Exchange Commission"

Pax fined for SRI breach

MICHELLE BALTAZAR  |  MONDAY, 25 AUG 2008
... regulatory fines for violating its own socially responsible investments (SRI) policies. According to the Securities Exchange Commission, the firm bought 10 securities between 2001 and 2005 that the funds' SRI restrictions prohibited them from buying ...

SEC blocks bank short selling

MICHAEL HOBBS  |  MONDAY, 28 JUL 2008
US based Securities and Exchange Commission (SEC) is taking extreme action against wild 'naked' short selling, issuing an emergency order that prevents the practice across a number of commercial and investment bank stocks. The order means anyone taking ...

Short selling faces revamp

RUTH LIEW  |  MONDAY, 31 MAR 2008
... US. The US first began tightening their regulation around short selling in 2005 when the US Securities and Exchange Commission (SEC) established what is known as the Regulation SHO to target "naked" short selling where the seller tries to short sell ...

Virtual bank collapse a warning to online world

CHRIS NICHOLLS  |  WEDNESDAY, 15 AUG 2007
... Commission, which he passed on to a group of players, imploded due to poor management. A new group, the Second Life Exchange Commission, recently announced it would draft a regulatory document, but Connell said even this would be fruitless. "The fact ...

US investors receive $312m from Fair Fund

ALEX DUNNIN  |  WEDNESDAY, 8 AUG 2007
Another week, another compensation resolution for US investors. This time the Securities and Exchange Commission (SEC) is about to distribute $312 million through the Fair Fund created as part of the settlements with Qwest Communications International ...

State Street's 130/30 funds gain $10bn Edge

CHRIS NICHOLLS  |  TUESDAY, 10 JUL 2007
... the same size. The strategy seems to be a huge growth sector in America as well, with former Securities and Exchange Commission investment division head Barry P. Barbash, recently quoted in the New York Times saying "funds using this strategy seem to ...

Shorting no longer needs a tick: SEC

CHRIS NICHOLLS  |  FRIDAY, 15 JUN 2007
In an historic decision, the US Securities and Exchange Commission (SEC) yesterday voted 5-0 to remove an almost 70-year-old rule that banned investors from shorting stocks while the price was still falling. The vote removed the so-called 'tick test' ...

Fidelity responds to Darfur campaign

ALEX DUNNIN  |  THURSDAY, 31 MAY 2007
... Fidelity now appears to be taking steps to divest their significant PetroChina holdings. Recent Securities and Exchange Commission filings indicate that Fidelity has reduced their New York Stock Exchange holdings of PetroChina to just a fraction of its ...

SEC considers limits to private hedge funds investing

ALEX DUNNIN  |  WEDNESDAY, 21 MAR 2007
The Investment Company Institute in US has come out strongly in support of the Security and Exchange Commission's (SEC) recommendations that individuals investing in hedge funds must have at least A$3.2 million in private investments. "This requirement ...

Beware of hedge risk: Deloitte

... Investments Commission (ASIC). By contrast, the US courts are blocking attempts by the regulator, the Securities and Exchange Commission, to require registration. Michelle Baltazar Michelle Baltazar