Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 31 - 40 of 257 results for "Exchange Commission"

J.P. Morgan pays US$18m over whistleblower rule breaches

JAMIE WILLIAMSON  |  WEDNESDAY, 17 JAN 2024
... confidential release agreements when receiving credits or settlements more than US$1000 ($1518). The Securities and Exchange Commission (SEC) found J.P. Morgan Securities regularly asked advisory and brokerage clients to sign confidential release agreements ...

Bitcoin ETFs reach US$4.6bn in trading volume on launch day

ANDREW MCKEAN  |  FRIDAY, 12 JAN 2024
... bitcoin ETFs recorded a total trading volume of over US$4.6 billion, after being approved by the Securities and Exchange Commission (SEC). Following approval to convert its US$28 billion primary bitcoin trust into a spot ETF, Grayscale Bitcoin Trust ...

Bitcoin ETFs given green light by US regulator

ANDREW MCKEAN  |  THURSDAY, 11 JAN 2024
Bitcoin exchange-traded funds (ETFs) have been approved by the Securities and Exchange Commission (SEC), a landmark moment for the legitimisation of the world's largest cryptocurrency. The SEC approved 11 Bitcoin ETF application from major institutional ...

BlackRock to cull 3% of global workforce

ANDREW MCKEAN  |  WEDNESDAY, 10 JAN 2024
... BlackRock had 19,800 employees at the end of December 2022, according to a filing with the US Securities and Exchange Commission.

SEC sues Kraken exchange again

CASSANDRA BALDINI  |  WEDNESDAY, 22 NOV 2023
The Securities and Exchange Commission (SEC) has charged Kraken Crypto Exchange for operating its trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. According to the SEC, Kraken has made hundreds of millions ...

BlackRock plans to launch Ethereum ETF

ANDREW MCKEAN  |  MONDAY, 13 NOV 2023
... manager similarly registered a Bitcoin trust, which was closely followed by a filing with the US Securities and Exchange Commission (SEC) for a groundbreaking Bitcoin ETF. The iShares Ethereum Trust aims to track the price of Ether, affording investors ...

US regulator fines DWS US$25m for greenwashing, AML offences

RACHEL ALEMBAKIS  |  TUESDAY, 26 SEP 2023
DWS Investment Management's American operations will pay the US Securities and Exchange Commission US$25 million to settle charges stemming from greenwashing claims and failures to develop an anti-money laundering (AML) program for mutual funds it advised. ...

Wall Street firms slugged $442m for recordkeeping breach

KARREN VERGARA  |  WEDNESDAY, 9 AUG 2023
... are among 11 firms that copped massive fines that totalled US$289 million ($442m) after the Securities and Exchange Commission (SEC) found that they used personal apps to conduct business. From at least 2019, the 11 firms admitted they used "off-channel ...

Monochrome files for first Bitcoin ETF in Australia

ANDREW MCKEAN  |  TUESDAY, 18 JUL 2023
... class with the appropriate financial services protections," Yew said. Meanwhile, in the US, the Securities and Exchange Commission (SEC) has been actively reviewing several applications for spot Bitcoin ETFs. Among the recent acknowledgements is an application ...

BlackRock Bitcoin ETF: A landmark institutional event?

ANDREW MCKEAN  |  MONDAY, 26 JUN 2023
The BlackRock ETF filing with the Securities and Exchange Commission (SEC) has been touted by Magnet Capital co-founder Egor Sidelska as the most significant institutional event in Bitcoin history. Sidelska said the BlackRock ETF filing is a definitive ...