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Showing 21 - 30 of 602 results for %22Exchange Commission%22

Coinbase sued as US crackdown continues

JAMIE WILLIAMSON  |  WEDNESDAY, 7 JUN 2023
The Securities and Exchange Commission (SEC) filed a suit against Coinbase for, among other things, allowing users to trade unregistered securities. It follows Binance being sued just yesterday. The SEC has accused Coinbase of breaking market rules ...

SEC sues Binance, chief executive

JAMIE WILLIAMSON  |  TUESDAY, 6 JUN 2023
The Securities and Exchange Commission is suing the world's largest crypto exchange and its chief executive Changpeng Zhao for allegedly lying to regulators and mishandling billions of investor dollars. Binance Holdings, BAM Trading Services, BAM Management ...

ASIC cans Binance AFSL

KARREN VERGARA  |  TUESDAY, 11 APR 2023
ASIC cancelled the financial services licence of Binance following concerns about the cryptocurrency exchange's operations in Australia. Effective April 6, the AFSL of Oztures Trading, which trades as Binance Australia Derivatives, was cancelled. From ...

Startup founder charged for defrauding JPMorgan

JAMIE WILLIAMSON  |  WEDNESDAY, 5 APR 2023
... on as head of student solutions, was terminated by JPMorgan in November 2022. Overnight, the Securities and Exchange Commission charged Javice with fraud, specifically violating the antifraud provisions of the Securities Act of 1993 and Securities Exchange ...

US regulator sues crypto giant, chief executive

CASSANDRA BALDINI  |  TUESDAY, 28 MAR 2023
... Binance. The complaint also includes Binance former chief compliance officer Samuel Lim for aiding and abetting the crypto exchange. "For years, Binance knew they were violating CFTC rules, working actively to both keep the money flowing and avoid compliance," ...

Macquarie profits boosted by commodities

CASSANDRA BALDINI  |  TUESDAY, 7 FEB 2023
... management, market access and financing activity across the financial market's businesses including fixed income, foreign exchange, credit, futures and equities. It further reported that Macquarie Asset Management (MAM) and Banking and Financial Services ...

Bloomberg pays US$5m in SEC charges

CASSANDRA BALDINI  |  TUESDAY, 24 JAN 2023
The finance juggernaut has agreed to fork out US$5 million in penalties to the Securities and Exchange Commission (SEC) following charges related to its fixed income valuations. The SEC alleged that Bloomberg Finance LP misled disclosures relating to ...

ETP naming conventions updated

JAMIE WILLIAMSON  |  THURSDAY, 24 NOV 2022
Following consultation, ASIC has updated naming conventions for exchange-traded products, dividing them into two levels of labelling. The regulator has updated Information Sheet 230 Exchange-traded products: Admission guidelines, splitting naming conventions ...

Goldman Sachs charged over ESG failures

JAMIE WILLIAMSON, RACHEL ALEMBAKIS  |  WEDNESDAY, 23 NOV 2022
... investing by the Trump Administration. In conduct stretching from April 2017 to February 2020, the Securities and Exchange Commission alleged Goldman Sachs had several failures in relation to two mutual funds and one separately managed account within ...

ASX dumps CHESS replacement project

JAMIE WILLIAMSON  |  THURSDAY, 17 NOV 2022
... that must be addressed." Roche apologised to stakeholders, adding that the decision has not been made lightly. The stock exchange said it will continue to invest in the existing CHESS technology, while employing Tim Whiteley as project director to lead ...