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Showing 41 - 50 of 129 results for "The Securities and Exchange Commission"

Longo's ASIC less aggressive: Report

ELIZABETH MCARTHUR  |  FRIDAY, 10 DEC 2021
... approaches to fight scams, increase digital security and boost investor trust. In the US, the Securities and Exchange Commission (SEC) has also taken a tougher regulatory approach under the new presidency. The SEC director of enforcement recently announced ...

Netflix insider trading ring charged

ELIZABETH MCARTHUR  |  FRIDAY, 20 AUG 2021
In the US, the Securities and Exchange Commission has brought insider trading charges against three former Netflix employees. It alleges that the three employees generated more than US$3 million in profits by trading on confidential information about ...

Insider trading forum busted

ELIZABETH MCARTHUR  |  FRIDAY, 19 MAR 2021
The Securities and Exchange Commission (SEC) has busted an internet forum where people were selling "insider tips" on listed companies. California man James Roland Jones was charged with perpetuating a fraudulent scheme to sell what he claimed were ...

BlackRock readies for crypto exposure

KARREN VERGARA  |  FRIDAY, 22 JAN 2021
... its global funds to potential exposure to bitcoin futures. Two filings with US watchdog the Securities and Exchange Commission reveal that two of BlackRock's funds - the BlackRock Global Allocation Fund and BlackRock Funds V - could potentially trade ...

Key finance figures in Biden Cabinet

ELIZA BAVIN  |  TUESDAY, 19 JAN 2021
... Protection Bureau, where he led the agency's efforts on student loans. Finally, to lead the Securities and Exchange Commission, Biden has nominated Gary Gensler. Gensler served as chair of the US Commodity Futures Trading Commission from 2009 to 2014 ...

Fund manager charged with defrauding investors

ELIZA BAVIN  |  WEDNESDAY, 13 JAN 2021
... who he had duped into believing he was an experienced and successful investment manager. The Securities and Exchange Commission in the US charged Eric Malley, and his company MG Capital Management, with defrauding retail investors in two real estate ...

SEC chair to depart

ANNABELLE DICKSON  |  TUESDAY, 17 NOV 2020
The chair of the Securities and Exchange Commission (SEC) has announced his intention to depart at the end of 2021, ahead of his term. Jay Clayton has served as chair for over three years and has been one of the longest-serving chairs of the SEC. He ...

J.P. Morgan set to cough up US$1bn

ALLY SELBY  |  THURSDAY, 24 SEP 2020
... investigations by the US Justice Department, the Commodity Futures Trading Commission and the Securities and Exchange Commission into whether traders rigged markets. This would be a record penalty for spoofing, an illegal form of market manipulation ...

Microcap manipulators caught out

ANNABELLE DICKSON  |  THURSDAY, 24 SEP 2020
A ring of microcap share manipulators have had their assets frozen by the Securities and Exchange Commission after procuring US$9 million in illegal profits by defrauding retail investors. The SEC alleged in a complaint that between 2013 and 2017 Ongkaruck ...

Index manager, friend charged for insider trading

KANIKA SOOD  |  TUESDAY, 22 SEP 2020
A senior index manager and his friend were charged for insider trading by the Securities and Exchange Commission for reaping over US$900,000 in illegal profits off trades made with prior knowledge of stocks that would be added to or deleted from an ...