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30 Jun 2017, 6:00 am
SEC’s Clayton Vows to Do More Exams with Less Funding in AdvisorHub SEC Chairman Jay Clayton testified to Congress on Tuesday morning that the agency will increase its examinations of investment advisers by 20% in the current fiscal year and nudge the numbers up a further 5% in fiscal 2018, despite requesting a slightly lower budget than in the current year. [read post]
17 Nov 2015, 10:02 am
OCIE’s review included approximately 20 examinations and interviews of outsourced CCOs and other senior officers. [read post]
21 Sep 2023, 9:01 pm
Today [September 20], the Commission is considering final rules to update the Names Rule. [read post]
23 Jul 2012, 5:23 pm
This is because in evaluating whether a proposed investment by a state-owned-enterprise is of net benefit to Canada, the Minister may consider not only the regular net benefit to Canada factors set out in section 20 of the Investment Canada Act, but also factors relating to the corporate governance and commercial orientation of a state-owned enterprise. [read post]
3 Nov 2016, 7:19 am
However, Section 12(J) of the Act prohibits fraudulent or manipulative conduct as an investment adviser regardless of whether the investment adviser sells securities. [read post]
23 Nov 2009, 1:22 pm
Nov 23: A supplemental petition submitted to the Securities and Exchange Commission by a broad coalition of 20 institutional investors explains that "it's impossible for investors to adequately assess the risk to their investment money if companies don't tell them how much climate change and its impacts might affect their financial performance. [read post]
10 Sep 2010, 10:14 am
If you’d like to learn more about the 20-year history of the KLD index business – the first of its kind in the world – take a look here: http://www.kld.com/about/20years/ Also see these ESG Insight articles on this topic: Dan DiBartolomeo and Lloyd Kurtz on the KLD400 Social Index: 20 Years of ‘SRI as a Free Good’ The Impact of ESG Integration: A Roundup of Research on Risk and Returns Passive Strategies for ESG Investing: An… [read post]
28 Jul 2014, 7:42 am
On September 12, 2011, the Council of the European Union issued a 20-page press release that provided updates on the 3109th Council meeting. [read post]
10 Jan 2012, 7:36 am
Bull, 28, had previously pled guilty to a single count of mail fraud, which carries a maximum prison sentence of 20 years. [read post]
22 May 2009, 1:06 am
The SEC contends, however, that the actual amount was closer to $20 million, and the funds had not been segregated to benefit KCG's investors. [read post]
28 Oct 2011, 6:30 am
To induce investors to invest in a hedge fund he claimed to control, Kupersmith falsely represented to investors that they would receive extraordinary returns—representing to at least one prospective investor that he would receive a return on his investment of approximately 43 percent every three months—and told prospective investors that their principal investment was “guaranteed. [read post]
24 Jun 2009, 6:44 am
The Infrastructure Investment & Policy Report has recently been added to our BNA subscription. [read post]
17 Apr 2011, 12:39 pm
NIBA Conference / CTA Expo 2011 – New York, April 20-21 The NIBA and the CTA Expo are having their New York event this week. [read post]
18 May 2015, 3:24 pm
Brokers typically earn commissions of 5% to 10% of the sale, and as much as 20%. [read post]
26 Mar 2007, 11:11 pm
Id. 20. [read post]
25 Jan 2016, 6:57 am
On January 20, trial commenced before Justice Marcy Friedman in New York County Supreme Court to determine whether Deutsche Bank, U.S. [read post]
23 Jul 2012, 1:04 pm
Make the FSA the recognised formal supervisor for recognised investment exchanges (RIEs). [read post]
24 Nov 2014, 12:49 pm
The SFT Regulation is intended to enhance financial stability by ensuring that information on SFTs is efficiently reported to trade repositories and investors in collective investment undertakings. [read post]
22 Dec 2010, 7:46 am
., No. 430, 2010 (Dec. 20, 2010), read Order here. [read post]
17 Apr 2015, 2:02 pm
The plaintiffs had brought claims under Sections 10(b) and 20(a) of the Securities Exchange Act of 1934, alleging that RBS induced them into buying American Depository Shares (ADSs) of RBS between October 2007 and January 2009 by misrepresenting the scope of RBS’s investment exposure to subprime mortgage-backed securities at that time. [read post]
