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Showing 51 - 60 of 157 results for "US Securities"

SEC adopts retail investor protection package

KARREN VERGARA  |  THURSDAY, 6 JUN 2019
The US Securities and Exchange Commission has adopted a package of fiduciary rules to protect retail investors from financial advisers who put their self-interests first. Under the new rules called Regulation Best Interest and Form CRS Relationship ...

US relaxes active ETF disclosures

KANIKA SOOD  |  TUESDAY, 16 APR 2019
Australia's active ETF industry could benefit as the US securities regulator softens its stance on daily disclosures for the segment. The U.S. Securities and Exchange Commission last week allowed an ETF provider to trade active ETFs without making daily ...

IFM Investors adds policy director

KARREN VERGARA  |  THURSDAY, 28 FEB 2019
... on the newly-created role of executive director of strategy and policy. Prior to joining ISA, May worked at the US Securities and Exchanges Commission (SEC) where he was counsel to Commissioner Luis A. Aguilar. He also assisted with the regulatory response ...

Ponzi scheme fined $1.4bn

KANIKA SOOD  |  WEDNESDAY, 30 JAN 2019
... offering them 5-10% in returns annually generated from issuing loans to third-party commercial property owners, the US Securities and Exchange Commission alleged. Many of the investors were seniors, investing their retirement savings. In reality, Woodbridge ...

Celebrities cop $1m crypto fine

JAMIE WILLIAMSON  |  MONDAY, 3 DEC 2018
Boxing giant Floyd Mayweather and music producer DJ Khaled have become the first people to be charged by the US Securities and Exchange Commission for the unlawful promotion of initial coin offerings. Floyd Mayweather and DJ Khaled - real name Khaled ...

ASIC tightens grip on ICO issuers

KANIKA SOOD  |  WEDNESDAY, 2 MAY 2018
... Meanwhile, the US corporate regulator has been going after ICOs that don't meet regulatory requirements. In December, the US Securities and Exchange Commission stepped up to halt the ICO of a blockchain meal review app Munchee that sought to raise $15 ...

Credit Suisse under investigation

JAMIE WILLIAMSON  |  FRIDAY, 16 FEB 2018
... violations of the US' Foreign Corrupt Practices Act and other civil statutes. The Department of Justice and the US Securities and Exchange Commission are among those investigating whether Credit Suisse hired referrals from government agencies and other ...

SEC cracks down on fee transparency

KARREN VERGARA  |  FRIDAY, 9 FEB 2018
The US Securities and Exchange Commission (SEC) announced it will crackdown on financial product providers' fee disclosures the year ahead in a bid to protect mum and dad investors. The SEC made it clear that one of its main priorities this year is ...

Bitcoin bubble will burst in 2018: Survey

KARREN VERGARA  |  MONDAY, 22 JAN 2018
... may be operating illegally in violation of existing laws - raises investor protection concerns," IOSCO said. The US Securities and Exchange Commission also issued a stern warning to the asset management industry about the growth in cryptocurrencies and ...

Industry rolls out anti-sexual harassment ETF

KARREN VERGARA  |  THURSDAY, 30 NOV 2017
... collaboration between index provider Equileap and Dallas-based investment manager Impact Shares. Filings with the US Securities and Exchange Commission shows the fund is aiming to measure the performance of large caps of US$2 billion that are "empowering ...