March 3, 2020
Washington D.C., Feb. 25, 2020 — The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers. …
February 27, 2020
Mr Michael Ming Jinn Ho, 32, of Lilyfield, New South Wales, today appeared in the Downing Centre Local Court and has pleaded guilty to insider trading and communicating inside information. …
February 26, 2020
BNY Mellon recently revealed in an announcement that it has partnered with Liontrust on its efforts in improving the asset management platform. As per the statement released by the firm, …
Continue reading “BNY Mellon Partners With LionTrust to Boost Investment Management Platform”
January 25, 2020
January 21, 2020 (Toronto, Ontario) – Nearly nine in 10 (87%) of current investors and nearly seven in 10 (67%) of aspiring investors feel it’s important that investment advice come …
January 24, 2020
ASIC has suspended the Australian financial services (AFS) licences of Sydney-based financial services providers Theta Asset Management Ltd and Valuestream Investment Management Ltd until 21 July 2020. The licences were …
January 3, 2020
Washington D.C., Dec. 19, 2019 — The Securities and Exchange Commission today charged Sacramento, California-based investment adviser firm Springer Investment Management, Inc. dba Springer Financial Advisors (SFA) and owner Keith …
Continue reading “SEC Charges Recidivist Investment Adviser With Defrauding Retirees”
October 5, 2019
US based treasury management and portfolio financial services provider Hazeltree recently revealed in an announcement that it has hired another US based financial services provider Enzo Financial Analytics-former subsidiary of CME Group – US marketplace giant which provider exchange, trading and clearance services. Enzo Financial Analytics in more popularly known in the market as leading provider of portfolio analytics for hedge funds and prime brokers.
June 19, 2019
Hong Kong Exchange and Clearing announced earlier this week that it has hired Niguel Brooks as its new head of infrastructure and operations. The infrastructure and operations department is responsible for handling and managing all its application systems. In his new role as head of infra and ops, Brooks will be reporting to Richard Leung, Chief Technology Officer at HKEX.
June 19, 2019
US-based multinational investment banking and financial service provider Citigroup Inc recently made an announcement revealing its plans to merge two of its Forex related business operations into one single business operation. The banking giant announced that the decision to merge two units was agreed upon post its recent enterprise-wide review owing to a series of consumer scandals and as some of its business ventures failed to meet expected targets.
June 19, 2019
Many New Zealanders spend longer choosing a movie to watch than reading and acting on their annual KiwiSaver statement.
A recent survey of 1100 New Zealanders for the Financial Markets Authority (FMA) found four out of five people took up to 10 minutes to choose a movie, but just over half of those questioned spent the same time reading their KiwiSaver annual statement.
