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Showing 51 - 60 of 87 results for "US Securities and Exchange Commission"

MetLife restructures US and UK operations

JAMIE WILLIAMSON  |  TUESDAY, 11 JUL 2017
... 2016 and Brighthouse Financial was registered in October 2016 via a Form 10 filed with the US Securities and Exchange Commission. At the time of the announcement MetLife said it was continuing to "evaluate and pursue structural alternatives for the planned ...

Robo-advisers expected to meet fiduciary rule

ALEX DUNNIN  |  FRIDAY, 16 JUN 2017
... the US will be subject to the same fiduciary obligations as regular human advisers, the US Securities and Exchange Commission has said. According to reports the new chairman of the SEC, Jay Clayton, is directing the SEC Division of Investment Management ...

Barclays refunds US$97m for overcharging clients

KARREN VERGARA  |  WEDNESDAY, 17 MAY 2017
... misrepresenting services and overcharging advisory and mutual fund fees. An investigation by the US Securities and Exchange Commission found Barclays overbilled clients to the tune of US$50 million. It also failed to properly carry out an advisory service ...

Financial advisers should consider bitcoin as an asset class: Dunworth

MICHELLE BALTAZAR  |  MONDAY, 8 MAY 2017
... out of seven years." The cryptocurrency was running hot up until two months ago when the US Securities and Exchange Commission decided against the launch of bitcoin ETFs, but Dunworth said it's about the long-term game. "A lot of people say that bitcoin ...

AllianceBernstein sees global leadership shake-up

KARREN VERGARA  |  WEDNESDAY, 3 MAY 2017
... president and chief executive, while Robert B. Zoellick will serve as chair. Filings with the US Securities and Exchange Commission show AXA removed nine directors from the board and replaced them with six members. New independent directors, Barbara ...

Goldman Sachs launches junk bond ETF

EMMA RAPAPORT  |  TUESDAY, 28 MAR 2017
... ETF which will invest in high-yield corporate debt, according to documents filed with the US Securities and Exchange Commission. The ETF will track an index of dollar-denominated bonds sold by US or Canadian companies that have minimum of one year to ...

ASIC user-pay model "eminently sensible": SEC veteran

ALEX BURKE  |  WEDNESDAY, 20 APR 2016
... regulator, according to former assistant director of the division of enforcement at the US Securities and Exchange Commission Jordan Thomas. Speaking to Financial Standard, Thomas, now chair of Labaton Sucharow's whistleblower representation practice ...

Australian system needs "substantial reassessment": SEC veteran

ALEX BURKE  |  TUESDAY, 19 APR 2016
... potential Royal Commission, former assistant director of the division of enforcement at the US Securities and Exchange Commission Jordan Thomas has said Australia's financial system could benefit from "substantial reassessment." Speaking to Financial ...

Goldman Sachs calls time on BRICs

LAURA MILLAN  |  THURSDAY, 12 NOV 2015
... the term in 2001, the move effectively brings the BRIC era to an end. GSAM notified the US Securities and Exchange Commission (SEC) and said it blended the strategy into the Goldman Sachs Emerging Markets Equity Fund because it doesn't expect "significant ...

ASIC grilled on whistleblower compensation

LAURA MILLAN  |  MONDAY, 9 NOV 2015
... those individuals who are responsible are dealt with," Medcraft said. At the same time, the US Securities and Exchange Commission (SEC) announced an award of $325,000 for a former investment firm employee who tipped the regulator with information that ...