AccessMyLibrary provides FREE access to over 30 million articles from top publications available through your library.
Close
Create a link to this page
Copy and paste this link tag into your Web page or blog:
<a href="http://www.accessmylibrary.com/coms2/summary_0286-23674801_ITM" title="Facts and information about Bank exec files complaint vs StanChart.">Bank exec files complaint vs StanChart.</a>
Close
Set up an RSS feed that alerts you when new articles from Asia Africa Intelligence Wire are available.
Frequently asked questions about RSS feeds
Bank exec files complaint vs StanChart.
(From Philippine Daily Inquirer)
Byline: Elena R. Torrijos
A SENIOR official of Standard Chartered Bank yesterday filed with the Securities and Exchange Commission a complaint against the bank for selling in the Philippines unregistered securities, specifically foreign mutual funds, in violation of the Securities Regulation Code.
In his complaint affidavit, SCB head of HR service delivery and industrial relations Manuel Baveria said that despite previous Bangko Sentral ng Pilipinas directives ordering the bank to stop selling Global Third Party Mutual Funds, the SCB still sold the product to him, other bank employees and bank customers.
"SCB has sold its global third ...
Related articles from newspapers, magazines, journals, and more
For more facts and information, see all results
- Levitt calls for investment adviser law, urges funds to simplify prospectuses....
- Magazine article from: The Bond Buyer Hume, Lynn Stevens October 14, 1994 700+ words
...announced two Securities and Exchange Commission initiatives aimed at getting...anybody in a bank that sells a mutual fund. Levitt told the reporters...two initiatives to improve mutual fund disclosures because fund...expedite its review of any mutual fund prospectuses ...
- Week in Review.(Securities and Exchange Commission accused J.B. Oxford's Scott...
- Newspaper article from: Money Management Executive June 25, 2007 700+ words
...Lawyer A Securities and Exchange Commission administrative law judge...still appeal the decision. Mutual Fund Fees at Lowest in 25 Years...Tuesday indicating that mutual fund fees are at their lowest...SEC The Securities and Exchange Commission announced that a second...
- Bailey named deputy chief accountant.(News)(for Securities & Exchange...
- Magazine article from: Strategic Finance Williams, Kathy February 1, 2004 700+ words
...FOR the Securities & Exchange Commission last month. He will share...the Ohio State University. Mutual fund scandal concerns employers...very knowledgeable about the mutual fund scandal, are concerned about...t have in their plans a mutual fund touched by the ...
- Regulators Taking Aim at 12b-1 Fees.(United States. Securities and Exchange...
- Newspaper article from: Money Management Executive March 3, 2008 700+ words
...burner, the Securities and Exchange Commission's rule governing mutual fund marketing fees is in store...12 billion a year from mutual fund assets to the broker...Institute (ICI), the mutual fund industry's Washington...
- Fallout From 03: Law and Technology: One More Time Around for the SEC's Mutual...
- Magazine article from: Securities Industry News April 17, 2006 700+ words
...implementing the Securities and Exchange Commission's long-delayed mutual fund governance reforms: In...percent of the members of mutual fund boards be independent...independence: "An independent mutual fund board chairman would provide...
- Securities and Exchange Commission Takes Action on Mutual Fund Trading Times.
- Newspaper article from: Daily News (New York, New York) (via Knight-Ridder/Tribune Business News) September 5, 2003 700+ words
...Dunaief Sep. 5--The Securities and Exchange Commission took immediate and sweeping action...Stern, Spitzer said, could buy mutual fund shares at prices that reduced the profits...investors in the fund. The banks and mutual fund companies, including Janus, allowed...
- SEC Plans Busy Year of Far-Reaching Regs.(Securities and Exchange Commission's...
- Newspaper article from: Kiplinger Business Forecasts Pryde, Joan January 27, 2004 700+ words
...unfinished business, the Securities and Exchange Commission (SEC) is set for an aggressive year...now also investors. Reform of the mutual fund industry is among the top priorities...monitor managers' behavior. Force mutual fund companies to reveal more detail on...
- First Financial files with SEC to create mutual fund family....
- Magazine article from: Business Courier Serving Cincinnati - Northern Kentucky Lombaerde, Geert De November 16, 2001 700+ words
...with the Securities and Exchange Commission to set up a mutual fund family that will seek to...at three other local bank mutual fund families. Most recently...Earlier this year, the mutual fund units of both U.S. Bancorp...
- SEC proposes guidelines for directors overseeing mutual fund portfolio...
- Magazine article from: Journal of Investment Compliance Strench, Bibb L. December 22, 2008 700+ words
...directors to probe mutual fund advisers for a remarkable...and consultants to mutual fund boards when setting...the US Securities and Exchange Commission (SEC) published proposed guidelines for mutual fund directors overseeing...
- Donaldson Holds His Ground: Ex-SEC chief defends agency, track record.(Mutual...
- Magazine article from: Securities Industry News February 20, 2006 700+ words
...of the Securities and Exchange Commission. That includes a tightening of mutual fund governance regulations...recalled as he addressed the Mutual Fund Directors Forum in Washington...rules would impose on the mutual fund industry. A decision...