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Showing 1 - 10 of 26 results for "Securities Industry"

Former Goldman Sachs exec charged over $62m bribery

ELIZABETH MCARTHUR  |  TUESDAY, 17 DEC 2019
... and TV personality Kimora Lee Simmons, has agreed to a settlement that sees him permanently barred from the securities industry. According to the SEC, in 2012 Leissner started bribing high ranking officials in Malaysia and Abu Dhabi, using a third party ...

Bitcoin bubble will burst in 2018: Survey

KARREN VERGARA  |  MONDAY, 22 JAN 2018
... industry about the growth in cryptocurrencies and cryptocurrency-related products. In a letter penned to the Securities Industry and Financial Markets Association, and Investment Company Institute, the SEC raised numerous questions, including how funds ...

Northern Trust grows APAC team with Sydney hire

DARREN SNYDER  |  WEDNESDAY, 8 NOV 2017
... where she was an independent consultant, advocating for market infrastructure development for the Australian securities industry. Previously, she was general manager for the ASX's clearing services where she led the market wide move to T+2 settlements. ...

Macquarie merges businesses, exec departs

JAMIE WILLIAMSON  |  TUESDAY, 29 NOV 2016
... outstanding leader "in a period marked by challenging market conditions and significant structural change in the securities industry."

SEC to run ad campaign promoting online consumer adviser checks

ALEX DUNNIN  |  FRIDAY, 4 MAR 2016
... retirement intermediaries to a Best Interests obligation. The reform proposals have been vigorously resisted by the securities industry ever since President Obama initiated the reforms following the GFC. Legislation underpinning the reform is not expected ...

US resistance to DOL fiduciary rule gathers pace

ALEX DUNNIN  |  WEDNESDAY, 2 MAR 2016
... regulates retirement savings has taken carriage of the issue but sustained resistance to the proposal by the securities industry has seen the proposal held up. President Obama, in his final year in office, has however sought to advance the issue and ...

US fiduciary rule fight not slowing down

ALEX DUNNIN  |  TUESDAY, 16 JUN 2015
... rules for financial advisers. Speaking to the Bipartisan Policy Center last month, the chief executive of the Securities Industry and Financial Markets Association (SIFMA), Kenneth E Bentsen, Jr, said the argument is not about what 'fiduciary' means ...

US schools should teach finlit

ALEX DUNNIN  |  THURSDAY, 26 MAR 2015
... association has said a more important step is introducing financial literacy training into school curriculum. The Securities Industry and Financial Markets Association (SIFMA) said in a policy briefing that: "There is a savings challenge in the United ...

US fiduciary reforms will rock pension funds

ALEX DUNNIN  |  THURSDAY, 5 MAR 2015
... funds subject to the ERISA legislation. Lisa Bleier, managing director for public policy and advocacy at the Securities Industry and Financial Markets Association (SIFMA), said in a statement released by the association that the move could have a "chilling" ...

Nikko launches absolute return fund

LAURA MILLAN  |  THURSDAY, 12 FEB 2015
... fund is managed by Singapore-based manager Robert Mann who has approximately 30 years of experience in the securities industry across Australia and Asia and an extensive background in fixed income research and management. Open to institutional investors ...
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