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|Search Results||Showing 1 - 10 of 100+ results for "SEC"|
|... Federal Reserve, Comptroller of the Currency, Federal Deposit Insurance Corporation, the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission, Federal Insurance Office, Federal Housing Finance Agency, Financial Stability Oversight ...|
|... Exchange Commission found it had violated rules giving retail investors priority in municipal bond offerings. According to the SEC, UBS improperly allocated bonds intended for retail investors to parties known in the industry as "flippers" over a four ...|
|... charged a former registered investment adviser with fraud for his alleged role in a US$60 million Ponzi-like scheme. The SEC alleges that David Hu, the co-founder and chief investment officer of International Investment Group (IIG), from October 2013 ...|
|... of two Hollywood films, Casino Jack and the Unites States of Money and Casino Jack , with Abramoff played by Spacey. The SEC alleged Nevada-based NAC Foundation and its chief executive Marcus Andrade, along with Abramoff, raised at least US$5.6 million ...|
|... kiosk provider for fitness centres had increased by as much as 300% despite its lack of business activity and revenue. The SEC has filed an emergency action and frozen the assets of the defendants involved in the scheme, which it says has been running ...|
|... claimed a company he was trading stocks in had developed a special COVID-19 test. The US Securities and Exchange Commission (SEC) has filed a complaint against Jason Neilson, saying he pumped up the price of Arrayit Corporation before dumping stock. ...|
|... agreed to a cease-and-desist order, a censure and the US$1 million civil penalty. The Securities and Exchange Commission (SEC) alleges that in 2016 Ares invested several hundred million dollars in debt and equity of a publically listed company, and as ...|
|... (CME), the world's largest financial derivatives exchange added Bitcoin futures contracts in December 2017." While the SEC has blocked applications to launch Crypto ETFs in the US, one of the largest cryptocurrency asset managers in the world, Grayscale ...|
|... Berko funnelled at least US$2.5 million to a Ghana-based intermediary to pay the bribes to the country's government. The SEC alleges that Berko helped the intermediary pay more than US$200,000 to various government officials, with Berko personally paying ...|
|... Commission awarding them a combined US $570,000. The first whistleblower received US $478,000 and the second US $94,000. The SEC did not reveal which cases the whistleblowers helped to crack, but said the substantially higher amount for one whistleblower ...|
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There is a good chance the planned superannuation guarantee increase to 12% will be deferred again as the nation continues to struggle with the effects of COVID-19, according to Mercer senior partner David Knox.
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BetaShares' ETF that tracks crude oil futures is once again changing the length of contracts it tracks and is taking extra measures to automatically convert the ETF to all cash if oil futures drop significantly again.
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The global fund manager saw its profits tumble 196% following net outflows of close to $19 billion in the first half of this year, resulting in heavy hits to fee and commission income.
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Chi-X TraCRs and funds will now be offered on a $1.9 billion privately owned wealth management platform, granting financial advisers and their clients access to some of the world's biggest listed companies.
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