FSA fines 'high pressure' broker
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A firm that used "high pressure sales tactics" to sell shares is fined Â£250,000 by the City watchdog.
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Regulator plays rough The Financial Services Authority (FSA) has taken two men to court over allegations of insider dealing during Motorola's takeover of TTP Communications.â¦
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The Ontario Securities Commission warned four mutual fund firms including CI Fund Management Inc. and AGF Funds Inc. they may face enforcement action in a probe of improper trading in the C$475 billion ($368 billion) industry.
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The Financial Services Authority said Thursday it had fined the Bank of Ireland for breaching regulations intended to prevent money laundering.
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SAN FRANCISCO (CBS.MW) -- Invesco Funds Group and AIM Advisors agreed Tuesday to pay $450 million in penalties and reduced fees to settle allegations that they allowed fraudulent trades in their mutual funds.
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The Securities and Exchange Commission announced a &#36;140 million settlement Wednesday with a mutual fund adviser to the former FleetBoston Financial Corp. for improper trading, the same day the agency filed civil fraud charges against two former employees of the adviser.
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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 Securities and Exchange Commission yesterday ordered mutual funds to stop paying higher commissions to brokers who promote the companies&#39; funds.
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Business & money: Tough new regulatory powers to make the Bank of England and the FSA more effective announced
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ZURICH, Switzerland -- Credit Suisse suspended a number of traders in connection with a $2.85 billion overvaluation of assets.
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Agent Charles Collymore has been charged by the Football Association (FA) for breaking their regulations on touting players as part of an investigation into alleged corruption in the sport.
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A financial adviser who conned miners out of hundreds of thousands of pounds while running their pension fund is jailed.
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Bullet proof policies - if you're a director The Financial Services Authority (FSA) has fined Norwich Union Â£1.26m for failing to safeguard customers against fraud.â¦
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RS Investments, a $6.7 billion money manager based in San Francisco, said Wednesday it had settled US and state allegations of improper trading by agreeing to pay $30 million in fines and reduced management fees.
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FSA warns City on risks The French software developer turned rogue trader who cost French bank SociÃ©tÃ© GÃ©nÃ©rale an estimated â¬4.9bn ($7.2bn) used co-workers' access codes to set up fraudulent transactions.â¦
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InfoWorld - The U.K.&#39;s financial services regulator has levied a heavy fine against the nation&#39;s largest building society over a stolen laptop containing confidential customer information.
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WASHINGTON -- Twenty-nine investment firms, including some of Wall Street&#39;s biggest names, have been fined a total $9.2 million by securities regulators who said they were late in reporting disciplinary history and other data about their brokers.