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Analyst fraud case dismissed
A US federal judge has thrown out a securities fraud legal case against Morgan Stanley and its internet analyst, Mary Meeker.
The case was bought by an investor who bought shares in online retailer Amazon, alleging that Ms Meeker and the bank had..
Online Published Date:
01 September 2001
Appeared in issue:
4.9 - 01 September 2001
SFA fines firm £350,000
The Financial Services Authority, under the auspices of the Securities and Futures Authority (SFA), has imposed a £350,000 (h530,000) fine for serious compliance failures on Paine Webber International UK, part of the Paine Webber group bought..
Online Published Date:
01 September 2001
Appeared in issue:
4.9 - 01 September 2001
Decision on adverts due
Christine Farnish, consumer director at the UK FSA has told Radio 4’s Inside Money programme that it is unlikely to ban the use of past performance figures in advertising for investment products.
This is the first time the watchdog has..
Online Published Date:
01 September 2001
Appeared in issue:
4.9 - 01 September 2001
BofA settles SEC case
Bank of America (BofA) has reached an agreement with the US Securities and Exchange Commission (SEC) over charges of improper accounting methods employed in a 1997 alliance, which exposed it to derivatives losses that ultimately required a..
Online Published Date:
01 September 2001
Appeared in issue:
4.9 - 01 September 2001
Newspoints
Citibank falls foul of JFSA
Online Published Date:
01 September 2001
Appeared in issue:
4.9 - 01 September 2001
Hong Kong
Amendments to Practice Note 15 to the Main Board Listing Rules
Online Published Date:
01 September 2001
Appeared in issue:
4.9 - 01 September 2001
Malaysia
Further flexibilities for listings, fund raising and restructuring
Online Published Date:
01 September 2001
Appeared in issue:
4.9 - 01 September 2001
Singapore
Banking Secrecy: Banking (Amendment) Act 2001
Online Published Date:
01 September 2001
Appeared in issue:
4.9 - 01 September 2001
US
The Equitable Right of Redemption: Why an old legal concept is causing FDIC-Insured institutions new problems in their desire to securitize assets
Online Published Date:
01 September 2001
Appeared in issue:
4.9 - 01 September 2001
UK
Story heading: Firm Date for ‘N2’ – Final Stages of Preparation for the Financial Services and Markets Act 2000.
Online Published Date:
01 September 2001
Appeared in issue:
4.9 - 01 September 2001
EU
Review of the EU’s investment service directive (ISD)
Online Published Date:
01 September 2001
Appeared in issue:
4.9 - 01 September 2001
EU
Towards a Single Payments Area through regulation?
Online Published Date:
01 September 2001
Appeared in issue:
4.9 - 01 September 2001
Basel: The fallout begins
Geoff Whitehouse, editor
Online Published Date:
01 September 2001
Appeared in issue:
4.9 - 01 September 2001