Search for: "BNY Mellon Capital Markets"
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23 Mar 2023, 7:19 am
The SEC has a three-pronged mission of protecting investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation. [read post]
3 Jan 2023, 3:15 am
The top 5 transfer agents for the total population market share include: Computershare, Equiniti Trust Co/American Stock Transfer & Trust, Continental Stock Transfer & Trust, BNY Mellon, and Broadridge. [read post]
21 Sep 2022, 12:37 pm
SEC says Oppenheimer, BNY Mellon Capital Markets, TD Securities (USA) and Jefferies LLC Failed to Comply with Municipal bond Offering Disclosure Requirements. [read post]
14 Sep 2022, 11:59 am
Each of TD, BNY Mellon, and Jefferies agreed to settle with the SEC, but Oppenheimer is litigating the matter in the Southern District of New York (In the Matter of TD Securities (USA) LLC, Release No. 34-95751, September 13, 2022; In the Matter of BNY Mellon Capital Markets, LLC, Release No. 34-95750, September 13, 2022; In the Matter of Jefferies LLC, Release No. 34-95749, September 13, 2022; SEC v. [read post]
13 Sep 2022, 5:35 am
Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms…Read the Full Press ReleaseHave a securities law question? [read post]
24 Aug 2022, 9:01 pm
(“BNY Mellon”), relating to its ESG assurances in violation of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. [read post]
18 Aug 2022, 3:15 am
In an attempt to support growth in retail investing, the World Economic Forum recently partnered with BNY Mellon and Accenture to survey what leads people to participate – or not – in capital markets. [read post]
17 Aug 2022, 5:24 pm
We also revisited the blockchain investment activity of the top 100 public companies (by market capitalization) to understand what’s changed, which areas within blockchain are top of mind, and which new entrants are investing now. [read post]
17 Aug 2022, 6:30 am
The same week the proposed rules were released, the SEC announced that BNY Mellon Investment Adviser, Inc. agreed to pay a $1.5 million fine to the SEC to settle allegations that the firm made misleading claims about ESG funds it managed. [read post]
17 Aug 2022, 6:30 am
The same week the proposed rules were released, the SEC announced that BNY Mellon Investment Adviser, Inc. agreed to pay a $1.5 million fine to the SEC to settle allegations that the firm made misleading claims about ESG funds it managed. [read post]
25 Jul 2022, 5:00 am
To settle the charges, BNY Mellon later agreed to pay a $1.5 million penalty. [read post]
26 May 2022, 9:01 pm
We better amend that proposal before it goes out the door lest a fund or adviser that prioritizes human capital issues despairs of being able legally to offer an ESG fund. [read post]
24 May 2022, 5:00 am
BNY Mellon Investment Adviser, Inc. [read post]
11 May 2022, 8:08 am
Its customers include Microsoft and BNY Mellon — the latter having won a global innovation award as a result of its work with Evisort. [read post]
11 Apr 2022, 7:53 am
BNY Mellon announced it will hold, transfer and issue bitcoin and other cryptocurrencies for asset management clients. [read post]
26 Feb 2021, 3:00 am
This “Institutional Investor” article discusses the study, and cites Trian’s 2014 investment in BNY Mellon as an example of validation capital. [read post]
11 Feb 2021, 8:10 am
Nor has BNY Mellon put any limits on which kinds of cryptocurrencies it’s ready to custody. [read post]
17 Aug 2020, 7:56 am
The second, more in depth survey included 25 questions on ESG investment and was conducted jointly with BNY Mellon between August-November 2019. [read post]
1 Jul 2020, 1:00 pm
An EU-wide FTT would harm capital formation in the EU and push traders to capital markets with lower transaction costs. [read post]
23 Jan 2020, 5:00 am
Table 1: Financial Transactions Taxes Around the World Source: BNY Mellon, “Financial Transaction Taxes (FTT): A Global Perspective,” 2018, https://www.bnymellon.com/emea/en/_locale-assets/pdf/our-thinking/ftt-globalperspective-brochure-03-2018.pdf. [read post]
