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Showing 61 - 70 of 88 results for "US Securities and Exchange Commission"

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 ...

FSI panellist challenges ASIC register sale

ALEX BURKE  |  WEDNESDAY, 23 SEP 2015
... be] available free of charge to users." This would potentially result in a system like the US Securities and Exchange Commission's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) database, which can be accessed freely online by the public. ...

CBA appoints international experts to oversee advice program

LAURA MILLAN  |  MONDAY, 11 AUG 2014
... supervising the majority of US banking assets. Schapiro served as the 29th chair of the US Securities and Exchange Commission from 2009 - 2012. The Open Advice Review program was set up after media reports and a Senate Economics Committee inquiry unveiled ...

ASX endorses Henry board director bid

ALICE URIBE  |  WEDNESDAY, 25 SEP 2013
... board after their hedge fund Manikay Partners (Manikay) agreed to settle a claim with the US Securities and Exchange Commission (SEC) over improperly buying Citigroup shares in 2009. Manikay will pay the SEC $2.6 million to settle the action. The hedge ...

Bloomberg to make disclosure announcements via Twitter

ALEX DUNNIN  |  FRIDAY, 5 APR 2013
... disclosures as long as investors have been told which social media platform will be used, the US Securities and Exchange Commission (SEC) announced. The ruling applies to social media and other emerging digital communications platforms in the same way ...

Medcraft to chair IOSCO

MELANIE TIMBRELL  |  FRIDAY, 18 MAY 2012
... (CMB) of Turkey, and Ethiopis Tafara, director of the Office of International Affairs at the US Securities and Exchange Commission as vice chairs. As part of a streamlining of IOSCO's structure, the new Board was constituted in Beijing through a three-way ...

US unlikely to follow EU short selling ban

ALEX DUNNIN  |  TUESDAY, 25 OCT 2011
... reduced ways to protect against default risk. The ban is unlikely to be supported in the US. US Securities and Exchange Commission chairman Mary Schapiro told a conference last week, "Never say never, but it is hard for me to imagine the SEC ever doing ...

Investors lose $7m in Qld scam

ASIC RELEASE  |  THURSDAY, 18 NOV 2010
... to pay a number of investors their capital, claiming their money had been frozen by the US Securities and Exchange Commission. In December 2009, Hatchett was sentenced to nine years' imprisonment for his involvement following an FBI investigation. The ...

US wants pause button in volatile markets

MICHAEL HOBBS  |  WEDNESDAY, 19 MAY 2010
... cent or more in five minutes. This proposal follows a meeting of exchanges, including the US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), in May when approximately 30 stocks on the S&P 500 fell in ...

Trust is a hard currency: research

RUTH LIEW  |  WEDNESDAY, 21 APR 2010
... ability to communicate with stakeholders such as investors and planners. Commenting on the US Securities and Exchange Commission fraud charge against Goldman Sachs, Wells said the same message of communication applies. Wells worked with research house ...