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|Search Results||Showing 1 - 10 of 100+ results for "US Securities"|
|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 ...|
|The US Securities and Exchange Commission (SEC) has kicked off the festive season by cracking down on misleading disclosures about cashflow and profitability. On December 4, the SEC announced it would be charging the Cheesecake Factory for misleading ...|
|... US$170 million for replacing its traders with an algorithm that drastically underperformed. An investigation by the US Securities Exchange Commission found UK-based BlueCrest Capital Management omitted critical information from investors where it shifted ...|
|... who identifies as either an underrepresented minority or LGBTQ+ on boards. Nasdaq has filed the proposal with the US Securities and Exchange Commission that also requests companies to publicly disclose "consistent, transparent diversity statistics" regarding ...|
|... investment manager is in the final regulatory stage of having its active non-transparent ETF model approved. The US Securities and Exchange Commission (SEC) published a notice regarding the firm's exemptive application, "indicating its plan to grant ...|
|... entering into an agreement with the US Department of Justice, the US Commodity Futures Trading Commission and the US Securities and Exchange Commission. The agreements with the three government agencies resolve investigations into historical manipulative ...|
|... June 2020, Rainmaker research shows . Clements is advocating for reforms in the industry, firstly calling on the US Securities Exchange Commission to standardise ETP providers' website formats. The industry should also use uniform calculation methodologies ...|
|... in the US has been charged over a Ponzi scheme that targeted African immigrants, particularly those of faith. The US Securities and Exchange Commission (SEC) charged two companies based in Maryland for the scheme that allegedly defrauded 1200 investors ...|
|UBS will cough up more than $14 million (US$10 million) after the US Securities and Exchange Commission found it had violated rules giving retail investors priority in municipal bond offerings. According to the SEC, UBS improperly allocated bonds intended ...|
|The US Securities and Exchange Commission have charged a former registered investment adviser with fraud for his alleged role in a US$60 million Ponzi-like scheme. The SEC alleges that David Hu, the co-founder and chief investment officer of International ...|
IOOF expects to spend up to $32 million on paying out Buyer of Last Resort arrangements with financial advisers leaving its network, primarily from Bridges Financial Services.
Link Group is now exploring the possibility of listing PEXA despite recently flagging there was strong interest from other parties in buying the property settlement platform.
PIMCO has named a new lead for its Asia Pacific business as part of an executive shuffle announced overnight.
Even before the COVID-19 vaccine arrived in Australia, it was clear we were returning to pre-pandemic normality, and latest stats back this.
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