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Showing 41 - 50 of 6299 results for %22securities%22

VanEck failed to disclose influencer's role in ETF launch: SEC

JAMIE WILLIAMSON  |  MONDAY, 19 FEB 2024
VanEck will pay US$1.75 million ($2.7m) to settle a case brought by the Securities and Exchange Commission, which alleged the investment manager failed to disclose the involvement of an influencer in the launch of an ETF in 2021. In the US, VanEck Associates ...

MDA authorisations remain steady amid exodus

JAMIE WILLIAMSON  |  WEDNESDAY, 14 FEB 2024
... for advisers and their clients," he said. Looking at other authorisations, the number of advisers who can advise on securities has declined 14.9% over three years. Meanwhile, derivatives and foreign exchange contracts have seen the largest percentage ...

AI poses potential challenge to financial stability: Gensler

ANDREW MCKEAN  |  WEDNESDAY, 14 FEB 2024
... Artificial intelligence could threaten financial stability, forcing novel macro-prudential strategies, according to US Securities and Exchange Commission (SEC) chair Gary Gensler. In a speech at Yale Law School, Gensler described AI as having "tremendous ...

Former director pleads guilty to hedge fund con

JAMIE WILLIAMSON  |  WEDNESDAY, 14 FEB 2024
... when employed as a trader and analyst elsewhere. His previous employers include Silverstone Proprietary Trading, ACY Securities, AxiTrader and City Index. Despite not having a licence to provide financial product advice, Sandiford told prospective investors ...

EQT winds up Mirae Asia equity fund

CHLOE WALKER  |  FRIDAY, 9 FEB 2024
... launched in December 2012, aimed to achieve long-term capital growth by investing mainly in equities and equity-related securities of Asian companies. Its objective was to benefit from the growing consumption activities of the Asian region, excluding ...

Sequoia strikes deal to acquire Clique Paraplanning

ANDREW MCKEAN  |  MONDAY, 5 FEB 2024
... and accountancy marketplace. Yield Report provides an online news portal focusing solely on fixed income and yield securities.

REITs primed for investor cash amid uncertainty

CHLOE WALKER  |  FRIDAY, 2 FEB 2024
... listed REITs, Principal Asset Management chief executive, public real assets and chief investment officer, real estate securities Kelly Rush stated that the capital-intensive, long-duration REIT market is expected to benefit from falling interest costs ...

Massive crypto Ponzi scheme unravels

KARREN VERGARA  |  TUESDAY, 30 JAN 2024
A US court and the Securities and Exchange Commission (SEC) have slapped charges on three individuals that include an Australian citizen for allegedly perpetrating a fraudulent cryptocurrency scheme known as HyperFund, raising $2.6 billion (US$1.7bn). ...

BWP, Newmark Property REIT set to merge

CHLOE WALKER  |  WEDNESDAY, 24 JAN 2024
... shareholder approval. Under the proposed merger, real estate investment trust BWP will offer to acquire 100% of NPR's securities via an off-market takeover offer, comprising 0.40 units of the BWP trust per NPR security. Most of BWP's properties ...

Perpetual Corporate Trust adds staff

ELIZABETH FRY  |  MONDAY, 22 JAN 2024
... platform owned by the Nasdaq-listed Tradeweb. Previously, she was a director of institutional fixed income at FIIG Securities and an associate director of investor sales at the ANZ. "Emily's reputation as an exceptional Client Relationship Manager ...