Search ResultsShowing 1 - 10 of 100+ results for "Securities"
Chief economist update: When QE is not QE
BENJAMIN ONG  |  MONDAY, 14 OCT 2019
... by the Federal Reserve during the financial crisis and its aftermath were concentrated in purchases of longer-term securities-principally longer-term Treasury securities and agency mortgage-backed securities," it said. "These operations were aimed at ...
ETFS Capital backs indexing startup
KANIKA SOOD  |  FRIDAY, 11 OCT 2019
... analytics and data company ETFLogic and specialist ETF and index data/technology vendor ULTUMUS. In Australia, ETF Securities, led by Kris Walesby, offers 15 ETFs and has $1.7 billion in funds under management.
ASX updates listing rules
ELIZA BAVIN  |  FRIDAY, 11 OCT 2019
The Australian Securities Exchange has updated its listing rules, boosting its ability to crack down on rule breakers. ASX chief compliance officer Kevin Lewis said the changes are designed to improve disclosures to the market, make the listings rules ...
Volcker Rule tweak gets green light
KANIKA SOOD  |  THURSDAY, 10 OCT 2019
... Trading Commission, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Securities and Exchange Commission. The Volcker Rule is the section 619 of the Dodd-Frank Wall Street Reform Act, 2010 named after former ...
CommInsure charged over hawking
HARRISON WORLEY  |  FRIDAY, 4 OCT 2019
... trades as CommInsure - at the end of 2014. "These matters had been the subject of an investigation by the Australian Securities and Investments Commission (ASIC)," CBA said. "CMLA reported breaches of anti-hawking provisions to ASIC." The case will be ...
First Sentier launches funds, picks new RE
KANIKA SOOD  |  WEDNESDAY, 2 OCT 2019
... first time with the new funds. The First Sentier Cash Fund will hold an actively-managed portfolio of money market securities with a low risk of capital loss. It will be managed by Tony Togher, the firm's head of short term investments and global ...
Milestone ETF Rule passed
JAMIE WILLIAMSON  |  FRIDAY, 27 SEP 2019
Global regulators are taking notice of the maturation of exchange-traded funds, with the US Securities and Exchange Commission adopting a new rule to modernise their regulation. Twenty seven years on from the launch of the first ETF, the SEC has voted ...
Undisclosed additional lending must stop
KRISTI CHENG  |  THURSDAY, 26 SEP 2019
... explained that the managers are not disclosing the existence of that debt, or that charge. Instead, they are holding those securities in escrow, so that in the event of a default of the borrower, those securities come out of escrow and become they seek ...
Evidence of "pay to play" in US pension consulting
KANIKA SOOD  |  WEDNESDAY, 25 SEP 2019
... Thuong Harvison from University 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 ...
Adviser cops three-year ban
KANIKA SOOD  |  WEDNESDAY, 25 SEP 2019
The Australian Securities and Investments Commission banned a financial adviser from providing any financial services for a period of three years. The corporate regulator made a banning order against Kyle Jonothan Perry Marshall under the Corporations ...
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