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Keyword: Market timing

79 results found

UBS censured in market-timing settlement

Firm fined US$49.5 million for failing to supervise brokers

SEC settles market-timing charges with Security Brokerage

Calugar to pay US$50 million penalty

  • By: IE Staff
  • January 10, 2006 January 10, 2006
  • 16:35

Class action filed over market timing moves

Claim filed against four fund firms

  • By: IE Staff
  • December 7, 2005 December 7, 2005
  • 10:03

Federated Investors settles market timing charges

Fund company to pay US$35 million in restitution

Scotia Securities expands fair value pricing model

ITG to value foreign securities in Scotia mutual funds

  • By: IE Staff
  • November 7, 2005 November 7, 2005
  • 10:30

NASD fines three firms for permitting improper market timing

US$1.5 million fine largest yet imposed by NASD in a market timing case

Compliance costs to rise in wake of market timing abuses

U.S. fund industry must now identify intermediaries

HSBC Securities to pay more than $1 million to settle market timing charges

800 trades executed for one client

  • By: IE Staff
  • August 31, 2005 August 31, 2005
  • 12:30

HSBC Securities settles with IDA over trading violations

Hearing scheduled for Wednesday

  • By: IE Staff
  • August 22, 2005 August 22, 2005
  • 07:25

CIBC settles with U.S. regulators on market timing

Bank to pay US$125 million

  • By: IE Staff
  • July 20, 2005 July 20, 2005
  • 10:10