Ex-Citigroup execs under scrutiny of regulators
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WASHINGTON (Dow Jones/AP) - Financial services giant Citigroup says the Securities and Exchange Commission is considering recommending charges against two of its former employees and a current worker.
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A month after federal regulators adopted sweeping new rules for mutual fund oversight, fund trustees remain concerned about their ability to serve as watchdogs over fund managers and others who handle investor money, a new survey shows.
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Securities regulators are reviewing whether investment banks' trades in shares of companies linked to M&A deals they were advising were based on coincidence or inside information, according to The Wall Street Journal on Monday.
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Citigroup's top executive in Japan endured unprecedented questioning by lawmakers on Tuesday over a scandal at the firm's private bank in the country, the latest turn in a high-profile case that has embarrassed the world's biggest financial company.
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Jefferies Group Inc. , a New York-based brokerage, is under investigation by the US Securities and Exchange Commission as part of a probe into whether brokers doled out gifts to mutual fund executives to win trading business, people familiar with the matter said.
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The staff of the U.S. Securities and Exchange Commission is considering recommending a civil injunction and/or administrative proceedings against Citigroup Asset Management, Citicorp Trust Bank, former asset management unit Chief Executive Thomas Jones and three other people, Citigroup  said on Friday.
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Citigroup Inc. (CN: Quote, Profile, Research) on Friday said US securities regulators may recommend enforcement proceedings against the former head of Citigroup Global Investment Management.
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Citigroup is facing fresh legal action related to its role as an adviser to Enron, with investors claiming they were duped by a &quot;massive scheme of deception&quot; when they bought securities tied to the credit-worthiness of the bankrupt energy firm.
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Britain's financial regulator will step  up scrutiny of investment banks' management of conflicts of  interest and risk in the wake of a number of high profile cases  such as WorldCom, Enron and Parmalat.
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U.S. regulators are looking into  whether Wall Street firms are providing insider information on  upcoming offerings, either on purpose or inadvertently, the  Wall Street Journal reported on Thursday.
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BaFin, the German financial market regulator, is investigating US banking giant Citigroup for possible market manipulation in the eurozone government bond futures market, the Financial Times reported.
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Citigroup&#39;s head of global capital markets, Thomas Maheras, sent a memo to employees apologising for a series of bond transactions last month which are now the subject of an investigation by the UK Financial Services Authority.
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German prosecutors said Tuesday they received a complaint from regulators against six Citigroup Inc. employees and were considering whether to launch a formal investigation into suspicions of market manipulation.
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A wave of business scandals in the  past few years has focused much more attention on how companies  are run, but even many investor watchdogs don't exactly agree  on how to assess corporate governance.
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The staff of the U.S. Securities and  Exchange Commission is considering recommending a civil  injunction and/or administrative proceedings against Citigroup  Asset Management, Citicorp Trust Bank, former asset management  unit Chief Executive Thomas Jones and three other people,  Citigroup C.N said on Friday.
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South Korea's markets watchdog says it is to inspect Citigroup's local operation, days after regulators censured the bank's Japanese business.
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Politicians, regulators and financial specialists outside the United States are seeking a role in the oversight of American markets, banks and rating agencies.