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Showing 961 - 970 of 3709 results for "Order"

ASIC, IOSCO report on debt capital raisings

ALLY SELBY  |  THURSDAY, 24 SEP 2020
The corporate watchdog has released a report into its findings on debt capital raisings following two years of surveillance of market practices. ASIC's 668 Report noted that while a properly functioning debt capital market (DCM) is vital for the real ...

J.P. Morgan set to cough up US$1bn

ALLY SELBY  |  THURSDAY, 24 SEP 2020
... profits off by placing smaller orders for the asset and profiting on the increase in price brought about by the large phony order. The practice was made illegal in the US in 2010, following the financial crisis. The settlement rumours come after two ...

Microcap manipulators caught out

ANNABELLE DICKSON  |  THURSDAY, 24 SEP 2020
A ring of microcap share manipulators have had their assets frozen by the Securities and Exchange Commission after procuring US$9 million in illegal profits by defrauding retail investors. The SEC alleged in a complaint that between 2013 and 2017 Ongkaruck ...

Westpac reaches $1.3bn AUSTRAC deal

ELIZA BAVIN  |  THURSDAY, 24 SEP 2020
... Australia will consider the proposed settlement and penalty. If the court determines the proposed penalty is appropriate, the order made will represent the largest ever civil penalty in Australian history. As part of the agreement, Westpac admitted it ...

Index manager, friend charged for insider trading

KANIKA SOOD  |  TUESDAY, 22 SEP 2020
A senior index manager and his friend were charged for insider trading by the Securities and Exchange Commission for reaping over US$900,000 in illegal profits off trades made with prior knowledge of stocks that would be added to or deleted from an ...

CSIRO contractor in crypto scam

ELIZABETH MCARTHUR  |  MONDAY, 21 SEP 2020
... equated to $76,000. On Friday he was sentenced to 15 months' imprisonment to be served by way of an intensive community order which includes 300 hours of community service. "The AFP commends the prompt actions of CSIRO in identifying this criminal conduct ...

IPO Wealth ordered to wind up

ELIZA BAVIN  |  FRIDAY, 18 SEP 2020
The Supreme Court of Victoria has made a winding up order for Mayfair 101's IPO Wealth fund. In response to the decision, Mayfair said it was disappointed with the outcome and believes it will result in negative ramifications for unitholders. The embattled ...

State Street cops $1.25m fine from AUSTRAC

KANIKA SOOD  |  WEDNESDAY, 16 SEP 2020
State Street was handed a $1.25 million fine by AUSTRAC for allegedly breaching 99 times its obligation to report international transfers to the agency under Anti-Money Laundering and Counter-Terrorism Financing laws. Under the law (section 45 (2) of ...

ASX revises capital raising measures

ELIZA BAVIN  |  WEDNESDAY, 16 SEP 2020
... measures were implemented back in March in response to the extreme market volatility being experienced. It introduces two class order waivers to help listed entities affected by COVID-19 to raise urgently needed capital. The ASX said the waivers will ...

Iress appointed mandate

ANNABELLE DICKSON  |  WEDNESDAY, 16 SEP 2020
... international orders and executions. The managed fund provider chose Iress' Execution Management System and Iress' Order System as it is fully integrated with Iress market data including live US market pricing and allows Lincoln to be connected ...