Ontario Securities Commission accuses 4 fund mangers of improper ...
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TORONTO (CP) - The Ontario Securities Commission is warning four Canadian mutual fund managers of &quot;potential enforcement proceedings&quot; for improper trading.
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The U.S. government on Thursday  charged 13 people, including employees at major Wall Street  banks, with securities fraud, wire fraud, bribery and other  charges in what authorities are calling one of the most  pervasive insider trading rings in years.
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The City watchdog, the Financial Services Authority, announced today that it has agreed a Â£194 million compensation fund for investors who lost money in split-capital trusts four years ago.
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Broker Marsh &amp; McLennan Cos.&#39; (MMC.N: Quote, Profile, Research) internal investigation into accusations of insurance bid-rigging has triggered the dismissal of four executives in recent days, a company representative said on
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The Securities and Exchange  Commission said on Thursday it charged a total of 38 traders in  a multi-million dollar scheme that involved phony finder fees  and illegal kickbacks in the &quot;stock loan&quot; industry.
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TORONTO (CP) - The RCMP is investigating an alleged conspiracy to defraud shareholders and creditors by three current or past executives at building products maker Royal Group Technologies.
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Federal prosecutors charged six men yesterday with making $55 million in fraudulent profits via private stock sales.
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Federal prosecutors charged a New York  hedge fund manager on Thursday with securities fraud, accusing  him of cheating investors out of millions of dollars by  overstating the fund's value.
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Three former executives of the Invesco Funds Group were barred from the mutual fund industry and agreed to pay a combined $340,000 in fines to resolve accusations that they helped favored clients make about $58 billion in improper trades, regulators said
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Credit Suisse First Boston&#39;s Canadian unit must pay regulators C$1.5 million ($1.3 million) to settle accusations that it improperly traded shares of BCE Inc.
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TORONTO (CP) - Canada&#39;s entire mutual-fund industry faces short-term pain but could reap longer-term gain, observers said Tuesday after the news that four prominent fund companies face &quot;potential enforcement proceedings&quot; for improper trading.
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The mutual fund information provider receives a Wells Notice over incorrect data.
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Federal prosecutors today unsealed criminal charges against more than a dozen people -- including former executives at three of Wall Street's elite investment banks and traders at prominent hedge funds -- for engaging in thousands of improper trades in a pair of wide-ranging schemes.
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Securities regulators sued two former financial advisers at Morgan Stanley  on Friday for defrauding about 50 mutual fund companies by hiding certain hedge fund trades worth billions of dollars.
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The Securities and Exchange Commission has sued JB Oxford Holdings Inc., a small brokerage and clearing company, and three of its executives for allegedly
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cLennan Cos&quot;/&gt;Marsh &amp; McLennan, which the New York attorney general&#39;s office has accused of bid-rigging and price-fixing, said last night that it was setting up a fund to be used for restitution in any settlement agreement.
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The Securities and Exchange Commission said Tuesday it brought fraud and insider trading charges against former top executives of bankrupt credit card issuer NextCard Inc.