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Showing 1 - 10 of 100+ results for "US Securities"

SEC rules against Amazon pension case

ELIZABETH MCARTHUR  |  TUESDAY, 12 APR 2022
The US Securities and Exchange Commission ruled against Amazon's no-action motion to exclude a shareholder resolution asking the company to prepare a report on how employee retirement savings are invested. The shareholder resolution, brought by activist ...

SEC to standardise climate disclosures

ELIZABETH MCARTHUR  |  TUESDAY, 22 MAR 2022
In a significant change, the US Securities and Exchange Commission (SEC) proposes all entities it regulates should have to disclose climate change-related factors including greenhouse gas emissions. The proposal would mean companies regulated by the ...

Milestone Group launches valuation tool

KARREN VERGARA  |  WEDNESDAY, 6 OCT 2021
... reporting to demonstrate adherence to best practices, Proctor added. The solution will initially focus on valuing US securities. "The solution addresses a neglected area across the market in terms of meaningful automation both for the operational teams ...

ASIC review of ESG products underway

JAMIE WILLIAMSON  |  THURSDAY, 8 JUL 2021
... the European Union's taxonomy that seeks to define what can be considered sustainable or climate friendly, and the US Securities and Exchange Commission task force aiming to identify gaps or misstatements in ESG disclosures. Armour also encouraged boards ...

James Murdoch launches SPAC

ELIZABETH MCARTHUR  |  FRIDAY, 14 MAY 2021
... it is a joint venture between Murdoch's private holding company Lupa Systems and Shankar. Papers filed with the US Securities and Exchange Commission describe Seven Islands as a $300 million blank cheque company, newly incorporated in the Cayman Islands. ...

Former adviser cops eight-year ban

KARREN VERGARA  |  THURSDAY, 6 MAY 2021
A former ANZ and Infocus Securities financial adviser has been banned for eight years after ASIC found evidence of forgery and falsifying documents. Lisa Lee, a Sydney-based former adviser, falsely witnessed binding nomination of beneficiary forms for ...

Regulator frets over SPAC boom

ELIZABETH MCARTHUR  |  FRIDAY, 16 APR 2021
... regulator has confirmed it has concerns around the rapid growth of Special Purpose Acquisition Companies (SPACs). US Securities and Exchange Commission acting director for the division of corporate finance John Coates said there are concerns around fees ...

Bernie Madoff dies in prison

ELIZABETH MCARTHUR  |  THURSDAY, 15 APR 2021
... compassionate grounds due to his terminal kidney failure. In May 2020, Madoff's life expectancy was 18 months. The US Securities and Exchange Commission (SEC) had conducted five major investigations into Madoff, dating back to 1992, but had failed ...

Goldsky director charged

ELIZABETH MCARTHUR  |  TUESDAY, 13 APR 2021
... Corporations Act by operating a financial services business without an Australian Financial Services licence. The US Securities and Exchange Commission filed a civil suit against Goldsky Asset Management and Grace in 2018 after ASIC assisted in its i ...

Deutsche Bank fined for alleged bribery

ANNABELLE DICKSON  |  MONDAY, 11 JAN 2021
The US Securities and Exchange Commission (SEC) has fined the bank for falsifying payment documentation in relation to third-party intermediaries. Deutsche Bank has agreed to pay more than US$120 million for violations of the Foreign Corrupt Practices ...
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