SEC investigates part of Thomson Financial&#39;s intelligence service
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STAMFORD, Conn. (CP) - The US Securities and Exchange Commission is investigating the operations of a Thomson Financial division that collects information on stock ownership, the company revealed Monday.
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Morningstar, the research firm that tracks more than 16,000 mutual funds, is under investigation by the Securities and Exchange Commission.
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NASD, which is the regulatory arm of the Nasdaq stock market, and the Securities and Exchange Commission are investigating about two dozen firms, including brokerage firms and mutual fund companies, to determine whether brokers handed out expensive gifts
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TIAA-CREF, the largest US retirement fund, said the Securities and Exchange Commission is conducting an informal inquiry into a relationship between auditor Ernst &amp; Young LLP and two former fund trustees.
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Bear Stearns Cos  is being  investigated by Massachusetts securities regulators over  whether the bank improperly traded with two in-house hedge  funds that collapsed last summer, the Wall Street Journal  reported on Friday.
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The &quot;Wells notice&quot; stems from an SEC probe into transactions that AIG Financial Products, the parent&#39;s derivatives unit, structured for PNC Financial of Pittsburgh in 2001.
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The Securities and Exchange Board of India will examine the legal aspects of alleged insider and unfair trading practices in Reliance Industries&#39; scrip in the wake of RIL vice-chairman and managing director Anil Ambani&#39;s comments before the company&#39;s
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NEW YORK -- American International Group Inc., one of the world&#39;s largest insurance companies, is the target of a probe by the Department of Justice into possible securities violations.
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The Securities and Exchange Commission has begun an investigation into investments by Marsh & McLennan's executives in partnerships set up by the company.
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Bisys Group Inc. said Monday that the Securities and Exchange Commission is investigating its fund services unit over certain expense payments.
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The U.S. Securities and Exchange  Commission is examining whether J.P. Morgan Chase & Co. should  have known that the Canary Capital Partners LLC hedge fund was  making improper trades, the Wall Street Journal reported on  Thursday.
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Hartford Life, a unit of the Hartford Financial Services Group Inc., said Friday it is being investigated by the Securities and Exchange Commission for its use of "directed brokerage" in connection with its mutual funds.
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The US stock market regulator is investigating troubled insurance broker Marsh &amp; McLennan&#39;s shareholder transactions, the firm has said.
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DaimlerChrysler AG said Thursday it had been notified that it was under investigation by the U.S. Securities and Exchange Commission over alleged violations of a federal anti-bribery statute after a fired employee complained to labor officials.
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The Securities and Exchange  Commission is investigating how banks, credit rating firms and  lenders valued and disclosed complex mortgage-backed securities  that ultimately led to the subprime crisis, a top agency  enforcer said on Saturday.
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Amkor Technology Inc. said Tuesday that the Securities and Exchange Commission began an informal inquiry into trading of the company&#39;s securities.
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The investigation seeks to determine whether managers at EADS had inside information when they sold stock in March, when EADS shares were near an all-time high.