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Securities firm to pay $50,000 fine
A small Raleigh securities firm that caters to foreign customers has agreed to pay $50,000 in fines after federal regulators accused it of violating the Bank Secrecy Act and failing to comply with an anti-money laundering rule that requires verifying its customers' identities.
09/01/2010 - 08:52 PM
British Columbia Securities Commission: Panel Releases Minority Reasons for Cease Trading Lions Gate Shareholder ...
VANCOUVER, BRITISH COLUMBIA-- - The British Columbia Securities Commission has released the minority reasons of a commission panel that granted an application by the Icahn Group to cease trade securities related to a shareholders rights plan adopted by Lions Gate Entertainment Corp.
09/02/2010 - 04:05 PM
HBanc Capital Securities Trust files preliminary prospectus
A preliminary prospectus for HBanc Capital Securities Trust has been filed with Canadian securities regulators in all provinces and territories for an initial public offering of Class A and Class U units, Connor, Clark & Lunn Capital Markets Inc. announced Wednesday.
09/02/2010 - 04:40 PM
Southwest Securities Financial Advisor in Georgetown, Texas Named FIVE STAR Wealth Manager(SM)
George Wanamaker, vice president and manager of the private client office of Southwest Securities, Inc. in Georgetown, Texas, has been awarded the FIVE STAR Wealth Manager Award as featured in the September issue of Texas Monthly.
09/02/2010 - 04:01 PM
Land Securities Sells Stratford Centre In GBP91.5 Million Deal
Land Securities Sells Stratford Centre In GBP91.5 Million Deal
08/31/2010 - 09:58 AM
Arsenal Securities UK Regulatory Announcement: FRN Variable Rate Fix
LONDON--(BUSINESS WIRE)--Re: Arsenal Securities GBP 50000000 MATURING: 01-Sep-2031 ISIN: XS0261374549 PLEASE BE ADVISED THAT THE INTEREST RATE FOR THE PERIOD 01-Sep-2010 TO 01-Dec-2010 HAS BEEN FIXED AT 0.946090 PCT DAY BASIS: ACTUAL/365(GBP) INTEREST PAYABLE VALUE 01-Dec-2010 WILL AMOUNT TO: GBP 117937.25 PER GBP 50000000 DENOMINATION
09/02/2010 - 11:03 AM
Southwest Securities' H1 profit down 63% on shrinking commissions
Southwest Securities Co., a major Chinese brokerage, reported a 62.57 percent decline in first-half profit due to squeezed commissions caused by falling stock trading volumes amid market fluctuations.
08/31/2010 - 09:09 AM
Business › Osaka Securities Exchange signs accord with China's Shenzhen bourse
Osaka Securities Exchange Co said Tuesday it has signed a memorandum of understanding with China's Shenzhen Stock Exchange to strengthen investment-related cooperation. The Osaka and…
08/31/2010 - 06:32 PM
Auburn Securities 4 UK Regulatory Announcement: FRN Variable Rate Fix
LONDON--(BUSINESS WIRE)--As Agent Bank, please be advised of the following rate determined on: 01/09/10 Issue ¦ Bluestone Securities plc - Series 2005-01 - GBP 1,050,000 Class D Asset Backed Notes due 01 Jun 2037 ISIN Number ¦ XS0222338153 ISIN Reference ¦ 22233815 Issue Nomin GBP ¦ 1,050,000 Period ¦ 01/09/10 to 01/12/10 Payment Date 01/12/10 Number of Days ¦ 91 Rate ¦ 4.72609 Pool Factor: Pool ...
09/02/2010 - 10:48 AM
Auburn Securities 4 UK Regulatory Announcement: FRN Variable Rate Fix
LONDON--(BUSINESS WIRE)--As Agent Bank, please be advised of the following rate determined on: 01/09/10 Issue ¦ Auburn Securities 4 plc - Class M - GBP 15,000,000 Mortgage Backed FRN due 1 Oct 2041 ISIN Number ¦ XS0202810734 ISIN Reference ¦ 20281073 Issue Nomin GBP ¦ 15,000,000 Period ¦ 01/09/10 to 01/10/10 Payment Date 01/10/10 Number of Days ¦ 30 Rate ¦ 1.06875 Denomination GBP ¦ 50,000 ¦ ¦ ...
09/02/2010 - 10:46 AM
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