News tagged with “securities and exchange commission”. Found:
166 tagged news reports.
Your Search Returned 166 tagged news reports
SEC names new Capital Market Committee members
Bangkok :: Thailand | 4 days ago
Credibility
Thailand Business News Update , Stock Market , SET Index , Invesment Information and more.
Tags: Capital Market Committee, SEC, Capital Market Supervisory Board, Thailand, Bangkok, Corporate crime, U.S. Securities and Exchange Commission, Securities and Exchange Commission, Business Finance
SEC told to improve ways it chooses probe targets
Washington :: DC :: USA | 4 days ago
Credibility The Securities and Exchange Commission must tighten its process for deciding which investment advisers to inspect if it is to avoid colossal breakdowns like the one that allowed Bernard Madoff's multibillion-dollar fraud to go undetected for 16 years,...
Tags: SEC, Bernard Madoff, David Kotz, inspector general, investment business, investment advisers, Washington, NASDAQ, U.S. Securities and Exchange Commission, Madoff, Ponzi scheme, Securities and Exchange Commission, Business Finance, economics, Confidence tricksters
Incentive deal satisfies SET, marketing officers
Bangkok :: Thailand | 6 days ago
Credibility All parties are doing this on recognition that marketing officers are the heart of securities companies," Kampanart Lohacharoenvanich, president of the association, said after the meeting. Both parties also agreed the deducted incentive would be returned...
Tags: marketing officers, SEC, Thailand, Bangkok, Securities, Christopher Cox, Corporate crime, U.S. Securities and Exchange Commission, Securities and Exchange Commission, Business Finance
Soros likes Potash
Omaha :: NE :: USA | 7 days ago
Credibility M ichael Falco for The Globe and Mail George Soros at his offices in midtown Manhattan Shares of Potash Corp. of Saskatchewan hit a five-month high and led the Toronto Stock Exchange to higher ground Tuesday, after the hedge fund of billionaire investor...
Tags: Billionaire Warren Buffett, Berkshire Hathaway Inc., Exxon Mobil Corp., Wal-Mart Stores Inc., George Soros, million shares, ExxonMobil, Securities and Exchange Commission, Omaha, Potash Corporation of Saskatchewan, S&P/TSX Composite Index, BHP Billiton, Stock exchange, Stock market, Soros Fund Management, Business Finance, Warren Buffett, Berkshire Hathaway, Buffett, Wal-Mart, Omaha Nebraska, Hathaway Mills, BNSF Railway, Hedge fund, JPMorgan Chase, Bank of America, Primary dealers, Financial services, Investment, Temasek Holdings' investments, Petrobras, Ford Motor Company
SEC targets alleged Ponzi scheme involving Colorado investors
Denver :: CO :: USA | 7 days ago
Credibility Securities and Exchange Commission moved Monday to freeze the assets of what it called a Ponzilike scheme centered in Colorado and Pennsylvania. Speed of Wealth LLC, a Centennial company, and principals Wayde and Donna Mc Kelvy allegedly helped raise...
Tags: Securities and Exchange Commission, ponzi scheme, SEC, Pennsylvania, Denver, U.S. Securities and Exchange Commission, Business Finance, Wayde, Confidence tricksters, Charles Ponzi, Securities offering, economics, Corporate crime
Ex-SEC lawyer pleads guilty in Dreier Ponzi fraud
Reykjavík :: Iceland | 14 days ago
Credibility Securities and Exchange Commission pleaded guilty to impersonating two people to help confessed Ponzi scheme operator Marc Dreier defraud hedge funds. Appearing in Manhattan federal court on Monday, Robert Miller, 52, admitted to fraud in the attempted...
Tags: pleads guilty, hedge fund, Marc Dreier, Manhattan, Robert Miller, enforcement division, lawyer pleads, sec lawyer, Securities and Exchange Commission
SEC fines Barrington man $590,000
Milwaukee :: WI :: USA | 19 days ago
Credibility The Securities and Exchange Commission Wednesday fined a Barrington man $590,000 for his role in an alleged accounting scheme that led to an overstatement of his company's earnings over three years. Richard Linden was the former CEO of Merge Healthcare...
Tags: Securities and Exchange Commission, Merge Healthcare Inc., Richard Linden, Barrington
SEC: JPMorgan will forfeit $647 million in fees under settlement
Birmingham :: AL :: USA | 19 days ago
Credibility The Securities and Exchange Commission says investment bank JP Morgan Chase & Co. will pay a $50 million penalty to Jefferson County and forfeit $647 million in swap termination fees in a settlement related to county bond deals .
Tags: Jefferson County, Alabama county, Securities and Exchange Commission
S.E.C. Chief Wants Better Shareholder Voting
New York City :: NY :: USA | 19 days ago
Credibility The top United States securities regulator on Wednesday called on corporate America to upgrade its proxy voting practices to ensure shareholders a greater voice in governing the companies they own. “It is imperative that our proxy voting process work,”...
Tags: shareholder voting, Securities and Exchange Commission, Mary Schapiro, proxy voting
Ex-Madoff accountant to plead guilty next week
New York City :: NY :: USA | 24 days ago
Credibility Epic fraudster Bernard Madoff's former outside accountant will plead guilty to criminal charges for his role in the multibillion-dollar Madoff fraud, U.S. prosecutors said on Friday. "The government anticipates that, at the pretrial conference scheduled...
Tags: Bernard Madoff, SEC, ponzi scheme, Ponzi, Securities and Exchange Commission, inspector general, sec inspector, apparently convinced, Canada, documents released
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