Search Results | Showing 71 - 80 of 159 results for "US Securities" |
| | | ... 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 ... |
| | | | ... 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." ... |
| | | | 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 ... |
| | | | 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... "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 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 ... |
| | | | 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 ... |
| | | | ... 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 ... |
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