In other instances only disclosure to the securities regulator is required-the public never learns.
Officials at China's securities regulator, central bank and foreign-exchange regulator couldn't be reached for comment.
WSJ: China May Give Foreign Pension Funds New Investment Opportunities
Zhou Xiaochuan is moving from the securities regulator to run the People's Bank of China.
The securities regulator has also said that it is considering offering tax breaks to QFIIs.
Peru's securities regulator suspended local operations of the Stanford Financial Group for 30 days.
At least 15 states are currently investigating mutual fund firms, a top securities regulator in another state says.
The AWC asserts that Rapley had no prior disciplinary history with the SEC, any self-regulatory organization or any state securities regulator.
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Investment advisors must be registered with the SEC or a state securities regulator, depending on the value of client assets under management.
FORBES: Differences Between Stockbrokers, Investment Advisors And Financial Planners
Certainly the Vatican does not, according to Consob, Italy's securities regulator, have a stake of 2% or more in the company, which would require disclosure.
Notable for markets was the appointment of Bank of China chairman Xiao Gang, who will replace Guo Shuqing as the head of the securities regulator.
Earlier this year, the chief securities regulator accused Mr Estrada of tampering with an investigation involving a company whose share price Mr Tan was suspected of manipulating.
China's main securities regulator had granted 28 new QFII licenses in the first four months of this year, compared with a total of 29 for the whole of last year.
WSJ: China May Give Foreign Pension Funds New Investment Opportunities
Then this week, the Chinese securities regulator approved the country's first gold fund designed to invest in overseas-listed gold ETFs, a move analysts interpreted as another bullish sign for gold.
"We're working with certain government entities on setting up the mechanism" for continued funding, said Mr. Wang, a former securities regulator in China who is also known as Jesse Wang.
The Hong Kong Exchange is fighting a similar move to strip it of authority to approve new listings and regulate listed companies and give that power to the securities regulator instead.
The probe last month was led by China's central bank and top securities regulator and focused on a kind of transaction that could magnify trading risks for Chinese banks and brokerage firms.
The bond-market investigation, led by China's central bank and top securities regulator, focuses on a kind of transaction that could magnify trading risks for Chinese banks and brokerage firms, the people said.
"This is clearly a smoking gun in the area of criminal responsibility, especially as it pertains to Mr. Quattrone, " Massachusetts Secretary of State William Galvin , the state's top securities regulator, told USA Today.
The National Development and Reform Commission, the top economic planning agency, is in charge of long-maturity bonds typically issued by major state-run enterprises, while the securities regulator runs a separate exchange-based bond market for listed firms.
In an interview on his last day in office as Hong Kong's securities regulator this year, Martin Wheatley warned about the craze for shares of Chinese companies, calling China "the new dot-com" of the investment world.
Massachusetts securities regulator, William Galvin, said Tuesday he had demanded records of what went into analyst research at UBS and Bear Stearns on New Century and the subprime sector, citing a surge in foreclosures in his home state.
Unfortunately, this product has drawn the scorn of FINRA the securities regulator for being a rip-off of investors, who can be locked into such investment for seven to 10 years with some seeing no chance of getting their capital returned.
China's securities regulator also is considering opening up the country's capital markets to international hedge funds by launching a feasibility study on broadening the scope of the QFII program to include such investors, a person familiar with the situation said last week.
WSJ: China May Give Foreign Pension Funds New Investment Opportunities
"The conflicts of interest with Hewitt and Aon put EnnisKnupp's clients at high risk, " declares Edward Siedle, a former federal securities regulator who now heads Benchmark Financial Services, an Ocean Ridge, Fla. firm that investigates institutional money manager abuses and also helps in selection.
"This case highlights a conflict of interest that arose between UBS and its customers and the devastating effect that such conflict had on those customers, " says the complaint by William Galvin, Massachusetts's top securities regulator, who has targeted Wall Street for alleged misdeeds in the credit crisis.
And, according to fraud charges filed Thursday by the Massachusetts securities regulator, the managing director of the UBS (nyse: UBS - news - people ) group responsible for auction rate securities in the U.S. began liquidating his own holdings just as that sales effort got off the ground.
Frankly, from my earliest days as a securities industry regulator, these were among the first and most common matters to come across my desk.
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Giulio Tremonti, Italy's finance minister, proposes merging four financial regulators into one super-regulator or, failing that, uniting Consob, the toothless securities-market regulator, the Bank of Italy, the banks' watchdog, and the antitrust authority.
Italy's securities-market regulator, Consob, still opposes a public offering.
In its first survey of Americans' financial acumen, the Finra Investor Education Foundation the research arm of the securities-industry regulator found that about half of those 45 or older hadn't tried to calculate their retirement needs.
WSJ: Getting Going: Is There a Cure for Financial Illiteracy?
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