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Showing 61 - 70 of 602 results for %22Exchange Commission%22

ASIC looks to tighten crypto ETP oversight

JAMIE WILLIAMSON  |  WEDNESDAY, 30 JUN 2021
ASIC is consulting on how exchange-traded products investing in cryptoassets can meet existing regulatory expectations, with the regulator particularly interested in identifying suitable cryptoassets for such products and ensuring good practice in terms ...

Stake taps FinClear for ASX offering

ELIZABETH MCARTHUR  |  FRIDAY, 25 JUN 2021
... we're the only company in our space to own the complete infrastructure highway - from the retail interface through to the exchange and clearing house - we're able to really streamline the trading process and make it much more efficient than anyone else ...

ATO cracks down on crypto

ANNABELLE DICKSON  |  MONDAY, 31 MAY 2021
The Australian Taxation Office is cracking down on cryptocurrency investors to report capital gains and losses in their tax returns after fears investors may think they are tax-free. The ATO estimates that 600,000 taxpayers have invested in crypto assets ...

UBS, Nomura cop fines over bond cartel

KANIKA SOOD  |  TUESDAY, 25 MAY 2021
UBS, Nomura and UniCredit were fined a total of $585 million by the European Commission for cartel conduct in government bond trading during the GFC. EC says the three investment banks breached antitrust rules through the participation of a group of ...

James Murdoch launches SPAC

ELIZABETH MCARTHUR  |  FRIDAY, 14 MAY 2021
... between Murdoch's private holding company Lupa Systems and Shankar. Papers filed with the US Securities and Exchange Commission describe Seven Islands as a $300 million blank cheque company, newly incorporated in the Cayman Islands. It hasn't selected ...

Afterpay reveals US plans, economic impact

JAMIE WILLIAMSON  |  WEDNESDAY, 21 APR 2021
... Revealed in a quarterly update yesterday, Afterpay is working with external advisors to explore options for listing on a US exchange. The company said it intends to remain headquartered in Australia but listing stateside would help accommodate the growing ...

Regulator frets over SPAC boom

ELIZABETH MCARTHUR  |  FRIDAY, 16 APR 2021
... it has concerns around the rapid growth of Special Purpose Acquisition Companies (SPACs). US Securities and Exchange Commission acting director for the division of corporate finance John Coates said there are concerns around fees, conflicts, sponsor ...

Bernie Madoff dies in prison

ELIZABETH MCARTHUR  |  THURSDAY, 15 APR 2021
... his terminal kidney failure. In May 2020, Madoff's life expectancy was 18 months. The US Securities and Exchange Commission (SEC) had conducted five major investigations into Madoff, dating back to 1992, but had failed to find evidence of his fraud ...

Goldsky director charged

ELIZABETH MCARTHUR  |  TUESDAY, 13 APR 2021
... operating a financial services business without an Australian Financial Services licence. The US Securities and Exchange Commission filed a civil suit against Goldsky Asset Management and Grace in 2018 after ASIC assisted in its investigation.

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 ...