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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

By: James Langton
January 12, 2006 January 12, 2006
16:30

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

By: James Langton
November 28, 2005 November 28, 2005
16:35

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

By: James Langton
October 3, 2005 October 3, 2005
11:55

Compliance costs to rise in wake of market timing abuses

U.S. fund industry must now identify intermediaries

By: James Langton
September 20, 2005 September 20, 2005
10:50

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