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Showing 81 - 90 of 159 results for "US Securities"

SEC bestow first whistleblowers awards

ALEX DUNNIN  |  THURSDAY, 4 SEP 2014
... actually have a formal executive office dedicated to supporting them and even bestow awards on whistleblowers. The US Securities Exchange Commission (SEC) has just announced the recipient of a US$300,000 Whistleblower Award to Audit and Compliance Professional ...

CBA appoints international experts to oversee advice program

LAURA MILLAN  |  MONDAY, 11 AUG 2014
... federal agency responsible for supervising the majority of US banking assets. Schapiro served as the 29th chair of the US Securities and Exchange Commission from 2009 - 2012. The Open Advice Review program was set up after media reports and a Senate ...

US fight over adviser fiduciary rules nears end

ALEX DUNNIN  |  THURSDAY, 17 APR 2014
... resolution is that it has retreated back to just improved disclosure rules. The Wall Street Journal has reported that the US Securities Exchange Commission (SEC) is soon to announce its final position on the long run argument over what the new fiduciary ...

SEC reopens target date funds disclosure review

ALEX DUNNIN  |  WEDNESDAY, 9 APR 2014
The US Securities Exchange Commission (SEC) has reopened its review into enhanced disclosure regulations for target date funds, a sector that they believe is very difficult for investors to compare. The review was launched following recommendations ...

SIFMA talks up Wall Street cyber defences

ALEX DUNNIN  |  WEDNESDAY, 23 OCT 2013
The US Securities Industry and Financial Markets Association (SIFMA) has released its assessment report of their Wall Street cyber attack simulation and while it confirms their protocols performed adequately, it was the soft attack weapons that were ...

ASX endorses Henry board director bid

ALICE URIBE  |  WEDNESDAY, 25 SEP 2013
... Aboud stood down from the board after their hedge fund Manikay Partners (Manikay) agreed to settle a claim with the US Securities and Exchange Commission (SEC) over improperly buying Citigroup shares in 2009. Manikay will pay the SEC $2.6 million to ...

ASIC accepts EU from two advice firms

LAURA MILLAN  |  TUESDAY, 24 SEP 2013
The Australian Securities and Investments Commission (ASIC) has accepted enforceable undertakings from two financial planning firms. Melbourne adviser James Thomas Banfield has entered into an enforceable undertaking with ASIC that prevents him from ...

Bloomberg to make disclosure announcements via Twitter

ALEX DUNNIN  |  FRIDAY, 5 APR 2013
... used for corporate disclosures as long as investors have been told which social media platform will be used, the US Securities and Exchange Commission (SEC) announced. The ruling applies to social media and other emerging digital communications platforms ...

Market wrap

AAP  |  FRIDAY, 7 SEP 2012
SYDNEY - The Australian sharemarket looks set to open one per cent higher after the European Central Bank (ECB) announced measures to help tackle the region's sovereign debt crisis. At 0813 AEST on Friday, the September share price index futures contract ...

Soros family office buys into Man United

MELANIE TIMBRELL  |  WEDNESDAY, 22 AUG 2012
... arm, Quantum Partners. News of the purchase surfaced yesterday after the Financial Times cited a filing with the US Securities Exchange Commission (SEC). Soros now owns more than three million shares in the team, making him one of the largest investors ...