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Showing 71 - 80 of 159 results for "US Securities"

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

ALEX BURKE  |  WEDNESDAY, 20 APR 2016
... less politically-motivated 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 ...

Australian system needs "substantial reassessment": SEC veteran

ALEX BURKE  |  TUESDAY, 19 APR 2016
... light of news about a 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." ...

SEC seeks comment on Accredited Investors

ALEX DUNNIN  |  THURSDAY, 14 APR 2016
With all the focus on retail financial advice and introducing a fiduciary rule, the US Securities and Exchanges Commission (SEC) is asking for public submissions regarding amending the definition of what is an Accredited Investor. An Accredited Investor ...

SEC to run ad campaign promoting online consumer adviser checks

ALEX DUNNIN  |  FRIDAY, 4 MAR 2016
The US Securities and Exchanges Commission (SEC) is stepping up its campaign to encourage retail investors to check the credentials of financial advisers. Later this year the SEC will be launching an updated version of its consumer campaign to remind ...

Goldman Sachs calls time on BRICs

LAURA MILLAN  |  THURSDAY, 12 NOV 2015
... After the firm first coined 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 ...

ASIC grilled on whistleblower compensation

LAURA MILLAN  |  MONDAY, 9 NOV 2015
... have to make sure that 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 ...

FSI panellist challenges ASIC register sale

ALEX BURKE  |  WEDNESDAY, 23 SEP 2015
... "collected information [to 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 ...

Infocus looking to expand advice services

DARREN SNYDER  |  FRIDAY, 29 MAY 2015
Infocus Wealth Management says it is in discussion with organisations and employer groups to further its outsourced financial advice services nationally. The announcement comes on top of Infocus now providing its financial advice services to industry ...

SEC and FINRA issue robo warning

ALEX DUNNIN  |  TUESDAY, 12 MAY 2015
The US Securities and Exchanges Commission (SEC) has issued a warning to investors regarding what it calls 'automated investment tools,' a group of web-based tools that include robo-advisers. The warning, prepared by the SEC's Office of Investor Education ...

Global re-regulation takes shine off investment banks

ALEX DUNNIN  |  MONDAY, 29 SEP 2014
... capital requirements imposed by the European Central Bank (ECB), increased educational requirements imposed by the US Securities and Exchanges Commission (SEC) as well as new 'ring fencing', liquidity and transparency guidelines. A raft of consultant ...