Search ResultsShowing 1 - 10 of 100+ results for "SEC"
RMBS scrutiny could be loosened in US
ELIZABETH MCARTHUR  |  WEDNESDAY, 13 NOV 2019
The US Securities and Exchange Commission (SEC) has issued a call for input from investors and market participants on the asset-level disclosure requirements for residential mortgage-backed securities (RMBS). SEC chairman Jay Clayton explained that ...
Adviser scammed family, friends
ELIZABETH MCARTHUR  |  FRIDAY, 8 NOV 2019
... Group raised over $2 million from at least 100 investors, most of whom were Pierre's family, friends and acquaintances. The SEC said Pierre targeted New York's Haitian community with his scheme. The US Securities and Exchange Commission alleges that ...
Former PIMCO chief guilty in admissions scandal
ELIZABETH MCARTHUR  |  WEDNESDAY, 30 OCT 2019
... led PIMCO from 2014 to 2016, prior to which he served as the bond giant's chief operating officer for five years. The SEC said Singer sent Hodge's daughter's high school transcripts to Laura Janke and Ali Khosroshahin, the coaches of the ...
Milestone ETF Rule passed
JAMIE WILLIAMSON  |  FRIDAY, 27 SEP 2019
... Commission adopting a new rule to modernise their regulation. Twenty seven years on from the launch of the first ETF, the SEC has voted to adopt a new rule and form amendments designed to improve the regulation of ETFs by establishing a clear and consistent ...
Evidence of "pay to play" in US pension consulting
KANIKA SOOD  |  WEDNESDAY, 25 SEP 2019
... of Arizona last month, looked at all investment advisory firms registered with the US Securities and Exchange Commission (SEC), their client base, and political contributions. The research found that presence of a government fund client (for example ...
Vanguard pilots new robo offering
ELIZABETH MCARTHUR  |  THURSDAY, 19 SEP 2019
... will begin making trades in those accounts to hold the mix of investments aligned to the financial goals. According to the SEC filing: "Digital Advisor's ability to optimize a client's portfolio allocation is dependent on the information that ...
Advice firm defrauds retired NFL players
JAMIE WILLIAMSON  |  TUESDAY, 3 SEP 2019
... March 2017. More than half of the retired players rolled over their NFL 401(k) accounts to invest in the hedge funds, the SEC said. According to the SEC, Reinhard, Howard and the firm advertised the funds would invest in a variety of instruments but ...
Portfolio manager caught out faking returns
KANIKA SOOD  |  FRIDAY, 19 JUL 2019
... took home US $600,000 in excess compensation from the fund's overstated performances and tried to cover up his conduct, the SEC said. "Rege used different discount curves to arrive at the net present value of long and short positions in certain swaps ...
Nomura ordered to pay back US $25m
KANIKA SOOD  |  TUESDAY, 16 JUL 2019
... pretending that they were still negotiating with a third-party seller when Nomura had, in fact, already bought a security,' the SEC said. The SEC's orders further found that Nomura lacked compliance and surveillance procedures that were reasonably designed ...
State Street cops $125m penalty
JAMIE WILLIAMSON  |  WEDNESDAY, 3 JUL 2019
... sending secured financial messages through the Society of Worldwide Interbank Financial Telecommunication (SWIFT) network. The SEC said State Street's clients agreed to pay the firm back for out-of-pocket custodial expenses that the firm paid on ...
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