Search Results | Showing 1 - 10 of 236 results for "Securities and Exchange Commission" |
| | | The Securities and Exchange Commission (SEC) has slammed the oligopolistic nature of the proxy adviser industry and floated the potential for artificial intelligence (AI) to upend their stronghold. Brian Daly, the director of the SEC's division of investment ... |
| | | | ... in late October. Filings show that Scion Asset Management is no longer registered with the Securities and Exchange Commission. At the end of March, filings state that the fund had about US$155 million in assets under management. Burry was the portfolio ... |
| | | | ... Security Act of 1974 (ERISA) and other defined contribution offerings. It also directs the Securities and Exchange Commission to facilitate access by reviewing and revising regulations and guidance where necessary. A statement from the White House said ... |
| | | | ... Canada's Alberta Securities Commission, France's Autorité des Marchés Financiers, Cyprus's Securities and Exchange Commission, Malaysia's Securities Commission, and Japan's Financial Services Agency. |
| | | | ... Hong Kong, all of which are now subject to regulatory action or insolvency. In the US, the Securities and Exchange Commission charged Brite Advisors USA with custody rule breaches and fiduciary failures for directing client assets into accounts controlled ... |
| | | | The US Senate has voted 52 to 44 for the appointment of the next chair of the Securities and Exchange Commission (SEC). Meanwhile, the UK's Financial Conduct Authority (FCA) has reappointed its chief executive. Patomak Global Partners chief executive ... |
| | | | ... "unfounded" and said it "firmly rejects" them. At the same time, both regulators in Europe and the Securities and Exchange Commission (SEC) in the US turned their attention to DWS. The asset manager settled a case brought by the SEC in 2023, paying $39.8 ... |
| | | | The Securities and Exchange Commission (SEC) has filed a joint stipulation to dismiss its civil enforcement action against Coinbase Inc, and its parent company, Coinbase Global. The decision follows the formation of the SEC's Crypto Task Force in January ... |
| | | | The Securities and Exchange Commission (SEC) announced that US President Donald Trump has appointed Mark Uyeda as acting chair of the agency. "I am honored to serve in this capacity after serving as a commissioner since 2022, and a member of the staff ... |
| | | | The Securities and Exchange Commission (SEC) charged Vanguard US$106.4 million for "materially misleading" investors in the Investor Target Retirement Funds (Investor TRFs) about their future tax liabilities. The failings relate to Vanguard dropping ... |
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