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Showing 71 - 80 of 87 results for "US Securities and Exchange Commission"

Market Wrap - Morning

AAP  |  TUESDAY, 20 APR 2010
... they also got a lift from Citigroup's strong return to profit. Dealers said some feared the US Securities and Exchange Commission might conduct a wider crackdown while Goldman Sachs has strongly denied any wrongdoing. They said markets finished off their ...

SEC launches derivatives review

SEC RELEASE  |  FRIDAY, 26 MAR 2010
The US Securities and Exchange Commission (SEC) is reviewing the use of derivatives by mutual funds, exchange traded funds and investment firms. SEC staff will explore a number of issues relating to the investment strategy and the regulations imposed ...

QIC taps lifecycle strategies

COMPANY RELEASE  |  TUESDAY, 23 FEB 2010
... on the provision of retirement income. He was the only academic invited to present at the US Securities and Exchange Commission and the Department of Labor Joint Hearing on target date funds in June 2009. Joining Drew at QIC to work on this initiative ...

Four pillars of a good hedge fund: Ashton

RUTH LIEW  |  MONDAY, 26 OCT 2009
... learned and applied in an Australian context. "First you have to register with the SEC [US Securities and Exchange Commission]... you need to disclose your positions to them on a quarterly basis and they monitor what you're doing. "Next you have to have ...

Billionaire faces insider trading noose

SEC RELEASE  |  MONDAY, 19 OCT 2009
... for insider trading that allegedly saw him pocket over $27 million in illicit gains. The US Securities and Exchange Commission, which laid the charges against Rajaratnam, also charged six others involved in the scheme, including senior executives at ...

Europe fails at fee disclosure

RUTH LIEW  |  FRIDAY, 2 OCT 2009
... core challenges for the European fund industry is fee transparency, or lack thereof. The US Securities and Exchange Commission has "hormonised the definition and communication fund fees towards investors", however no single definition of the Total Expense ...

America on its knees

BENJAMIN ONG  |  THURSDAY, 18 SEP 2008
... lending and liquidity initiatives.' The extent of the current market upheaval is such that the US Securities and Exchange Commission (SEC) has extended a helping hand, announcing that from today (18 September) failure to deliver shorted securities by ...

Market Wrap - Midday

AAP  |  TUESDAY, 16 SEP 2008
... Lehman Brothers amounting to no more that $150 million. Lehman Brothers' filing with the US Securities and Exchange Commission listed ANZ Banking Group as having $85.3 million in exposures via two bank loans worth $US44 million ($A54.4 million) and $US25 ...

Short selling faces revamp

RUTH LIEW  |  MONDAY, 31 MAR 2008
... US. The US first began tightening their regulation around short selling in 2005 when the US Securities and Exchange Commission (SEC) established what is known as the Regulation SHO to target "naked" short selling where the seller tries to short sell ...

Shorting no longer needs a tick: SEC

CHRIS NICHOLLS  |  FRIDAY, 15 JUN 2007
In an historic decision, the US Securities and Exchange Commission (SEC) yesterday voted 5-0 to remove an almost 70-year-old rule that banned investors from shorting stocks while the price was still falling. The vote removed the so-called 'tick test' ...