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Search ResultsShowing 1 - 10 of 100+ results for "Exchange Commission"
BlackRock readies for crypto exposure
KARREN VERGARA  |  FRIDAY, 22 JAN 2021
... its global funds to potential exposure to bitcoin futures. Two filings with US watchdog the Securities and Exchange Commission reveal that two of BlackRock's funds - the BlackRock Global Allocation Fund and BlackRock Funds V - could potentially trade ...
Key finance figures in Biden Cabinet
ELIZA BAVIN  |  TUESDAY, 19 JAN 2021
... Protection Bureau, where he led the agency's efforts on student loans. Finally, to lead the Securities and Exchange Commission, Biden has nominated Gary Gensler. Gensler served as chair of the US Commodity Futures Trading Commission from 2009 to 2014 ...
Fund manager charged with defrauding investors
ELIZA BAVIN  |  WEDNESDAY, 13 JAN 2021
... who he had duped into believing he was an experienced and successful investment manager. The Securities and Exchange Commission in the US charged Eric Malley, and his company MG Capital Management, with defrauding retail investors in two real estate ...
Deutsche Bank fined for alleged bribery
ANNABELLE DICKSON  |  MONDAY, 11 JAN 2021
The US Securities and Exchange Commission (SEC) has fined the bank for falsifying payment documentation in relation to third-party intermediaries. Deutsche Bank has agreed to pay more than US$120 million for violations of the Foreign Corrupt Practices ...
GE, Cheesecake Factory pursued for disclosure violations
ELIZABETH MCARTHUR  |  FRIDAY, 11 DEC 2020
The US Securities and Exchange Commission (SEC) has kicked off the festive season by cracking down on misleading disclosures about cashflow and profitability. On December 4, the SEC announced it would be charging the Cheesecake Factory for misleading ...
Hedge fund switched traders with algorithm
KARREN VERGARA  |  THURSDAY, 10 DEC 2020
... replacing its traders with an algorithm that drastically underperformed. An investigation by the US Securities Exchange Commission found UK-based BlueCrest Capital Management omitted critical information from investors where it shifted top traders from ...
Nasdaq proposes diversity rules
KARREN VERGARA  |  THURSDAY, 3 DEC 2020
... an underrepresented minority or LGBTQ+ on boards. Nasdaq has filed the proposal with the US Securities and Exchange Commission that also requests companies to publicly disclose "consistent, transparent diversity statistics" regarding the composition ...
Exemptions to AFSLs explained by ASIC
ELIZA BAVIN  |  THURSDAY, 26 NOV 2020
The Australian Securities and Exchange Commission (ASIC) has provided guidance to trustees of unregistered managed investment schemes in relation to whether they require an Australian financial services licence. The regulator stressed that a trustee ...
SEC chair to depart
ANNABELLE DICKSON  |  TUESDAY, 17 NOV 2020
The chair of the Securities and Exchange Commission (SEC) has announced his intention to depart at the end of 2021, ahead of his term. Jay Clayton has served as chair for over three years and has been one of the longest-serving chairs of the SEC. He ...
Invesco advances active non-transparent ETF
KARREN VERGARA  |  WEDNESDAY, 11 NOV 2020
... the final regulatory stage of having its active non-transparent ETF model approved. The US Securities and Exchange Commission (SEC) published a notice regarding the firm's exemptive application, "indicating its plan to grant the needed relief subject ...
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