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Showing 71 - 80 of 129 results for "The Securities and Exchange Commission"

Elon Musk steps down as Tesla chair

KANIKA SOOD  |  TUESDAY, 2 OCT 2018
... settled a tweet-led securities fraud charge with the US corporate regulator. Last week, the Securities and Exchange Commission charged Musk with securities fraud over his August 7 tweets in which he said he would take the company private at $420 per ...

Elon Musk charged with securities fraud

KANIKA SOOD  |  FRIDAY, 28 SEP 2018
... about taking Tesla private have seen him charged with securities fraud by the US regulator. The Securities and Exchange Commission is also seeking court approval to stop Musk from serving as an officer or a director of a public company. The matter relates ...

US regulator to extend fiduciary rule

JAMIE WILLIAMSON  |  FRIDAY, 20 APR 2018
... confusion around the differing standards to which different industry professionals are held. The Securities and Exchange Commission is proposing to enhance the quality and transparency of investors' relationships with investment advisers and brokers ...

AllianceBernstein slashes retail fees

ALEX BURKE  |  WEDNESDAY, 1 NOV 2017
... leader in the conversation about changing fee models in active management, referring to the Securities and Exchange Commission's recent approval in the US of six AB funds with a new performance-based fee structure. It's a similar approach to the one ...

Legalsuper awards global equities mandate

ALEX BURKE  |  WEDNESDAY, 26 APR 2017
... when providing financial services to wholesale Australian investors as it is regulated by the Securities and Exchange Commission in the US.

JPMorgan Chase to pay bribery fines

KERRIE SYDEE  |  FRIDAY, 18 NOV 2016
... & Co has agreed to pay more than US$130 million to settle charges brought against it by the Securities and Exchange Commission (SEC) after winning business from clients and corruptly influencing government officials in Asia Pacific by employing relatives ...

US mulls borrowing limit on leveraged ETFs

MARK SMITH  |  WEDNESDAY, 8 JUN 2016
US financial regulator, the Securities and Exchange Commission (SEC), is considering introducing measures to restrict how much mutual funds can invest in leveraged exchange traded funds (ETFs). The product type gives investors geared exposure to a given ...

CalPERS urges Rio Tinto to report climate change risk

DARREN SNYDER  |  TUESDAY, 12 APR 2016
... about 250,000 shares in Rio Tinto and the fund recently filed an exempt solicitation with the Securities and Exchange Commission (SEC), urging fellow Rio shareowners to vote in favor of the proxy ballot resolution. Rio Tinto is holding its AGM in London ...

Industry groups slam SEC plan to limit derivatives

WHITNEY FITZSIMMONS  |  THURSDAY, 31 MAR 2016
US industry groups have hit back at a proposal by the Securities and Exchange Commission (SEC) to try to limit investors' exposure to risk. In December Mary Jo White, the chair of the US corporate watchdog said a funds' use of certain instruments can ...

Hedge funds face brain drain

LAURA MILLAN, MARK SMITH  |  MONDAY, 24 AUG 2015
... Quantum business from a hedge fund to a family office. In doing so he escaped the scrutiny of the Securities and Exchange Commission. Brown thinks the move has opened the floodgates and other managers will follow. He expressed concern that the trend ...