Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 1 - 10 of 10 results for "US Securities Exchange Commission"

Macquarie cops US$80m from SEC

KARREN VERGARA  |  FRIDAY, 20 SEP 2024
... Management Business Trust (MIMBT) overvalued about 4900 largely illiquid CMOs, according to the US Securities Exchange Commission (SEC), held in the Absolute Return Mortgage-Backed Securities (ARMBS) strategy between January 2017 and April 2021. MIMBT ...

Hedge fund switched traders with algorithm

KARREN VERGARA  |  THURSDAY, 10 DEC 2020
... 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 top traders from ...

ETFs undermine product comparison: Research

KARREN VERGARA  |  TUESDAY, 29 SEP 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 for ...

Republican Party-themed ETF launches

KARREN VERGARA  |  FRIDAY, 1 SEP 2017
... "highly supportive of Republican candidates" being elected into office, documents filed with the US Securities Exchange Commission yesterday shows. The ETF is backed by Point Bridge Capital, an investment advisory services firm for high-net-worth individuals ...

SEC bestow first whistleblowers awards

ALEX DUNNIN  |  THURSDAY, 4 SEP 2014
... executive office dedicated to supporting them and even bestow awards on whistleblowers. The US Securities Exchange Commission (SEC) has just announced the recipient of a US$300,000 Whistleblower Award to Audit and Compliance Professional Who Reported ...

US fight over adviser fiduciary rules nears end

ALEX DUNNIN  |  THURSDAY, 17 APR 2014
... retreated back to just improved disclosure rules. The Wall Street Journal has reported that the US Securities Exchange Commission (SEC) is soon to announce its final position on the long run argument over what the new fiduciary rules for brokers and ...

SEC reopens target date funds disclosure review

ALEX DUNNIN  |  WEDNESDAY, 9 APR 2014
The US Securities Exchange Commission (SEC) has reopened its review into enhanced disclosure regulations for target date funds, a sector that they believe is very difficult for investors to compare. The review was launched following recommendations ...

Soros family office buys into Man United

MELANIE TIMBRELL  |  WEDNESDAY, 22 AUG 2012
... Partners. News of the purchase surfaced yesterday after the Financial Times cited a filing with the US Securities Exchange Commission (SEC). Soros now owns more than three million shares in the team, making him one of the largest investors after the ...

Regulators chase social media

ELISE BURGESS  |  FRIDAY, 11 NOV 2011
... and European regulators have issued general guidance only with a loose requirement from the US Securities Exchange Commission (SEC) that investment advisers document of their use of social media while the UK's Financial Services Authority (FSA) released ...

IFRS eliminates need for GAAP reconciliation

The US Securities Exchange Commission (SEC) has announced it will eliminate the need to reconcile foreign financial reports filed with it back to the US Generally Accepted Accounting Principals (GAAP) if the foreign entity uses International Financial ...
PAGE:
1

Editor's Choice

Active Super transfers members to Challenger

JAMIE WILLIAMSON  |   12:50PM
Challenger will take over Active Super's Guaranteed Income offering after it was determined transferring these member accounts to Vision Super would not be in their best interests.

Eyes on gaming, Chinese tech in 2025: Orbis

MATTHEW WAI  |   12:32PM
Why investors in Asian equities and gamers alike have reason to feel good about the year ahead.

RBA 'paves way' for February rate cut

ELIZA BAVIN  |   12:44PM
After a year of defiantly leaving interest rates on hold, the RBA has given the first glimmer of hope a rate cut may come in the first half of 2025.

Scarcity Partners acquires stake of foreign investment firm

ANDREW MCKEAN  |   12:51PM
Scarcity Partners has acquired a 20% interest in January Capital, a Singapore-based private markets investment firm focused on Asia Pacific technology companies.

Videos

Brought to you by
MORE VIDEOS

Products

Financial Standard Guide To Series

'Guide To' Series

Pocket investment guides featuring adviser case studies and a glossary.
MORE INFO
Financial Standard Publisher's Forum

Publisher's Forum

Investing trends and strategies from the industry’s thought leaders.
MORE INFO
Financial Standard Product Showcases

Product Showcases

Putting the spotlight on investment products that matter.
MORE INFO

Expert Feed

Industry Events

MORE INDUSTRY EVENTS
FEB
18

Chief Economists Forum 

FEB
20

Chief Economists Forum 

MAR
11

Advisers Big Day Out - Perth 

MAR
12

Advisers Big Day Out - Adelaide 

MAR
13

Advisers Big Day Out - Melbourne 

Featured Profile

MORE PROFILES
Kellie Wood

Kellie Wood

HEAD OF FIXED INCOME
SCHRODER INVESTMENT MANAGEMENT AUSTRALIA LIMITED
Schroders Australia's Kellie Wood talks about winning a lot, so much so that it's become a well-intentioned joke with her co-workers - but it's this ambitious attitude that spurs her on every day. Eliza Bavin writes.
READ MORE
The Financial Standard podcast
Tune in each week as we discuss the latest developments in Australia's wealth management industry.
Financial Standard podcast
Spotify
Apple Podcasts
Amazon Music
YouTube
Follow Financial Standard on Facebook
Follow Financial Standard on Twitter
Follow Financial Standard on LinkedIn
Follow Financial Standard on Instagram
ISS - Institutional Shareholder Services, © Copyright 2024, All Rights Reserved
MarketSage  -  MarketPulse  -  MarketPro  -  MarketReach