In November 2010 five directors from Exeter-based St Frances Marketing admitted unfair trading practices.
Some of these companies have been hit by FERC and SEC investigations into their trading practices.
Not if personal trading practices revealed recently in the Saint Petersburg Times are to be believed.
Review Trading Costs: Pensions should examine trading practices and costs, including use of soft dollars by managers.
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It encourages competition and investigates anti-competitive practices in industry, while remedying trading practices which are against consumer interests.
Although the newly proposed rules would not address CDS trading practices, they would limit naked short-selling in several important ways.
It formally accused the three brewers and smaller firm Bavaria of unfair trading practices in 2005, having launched its investigation several years earlier.
We don't need folks who during election time suddenly are worrying about trade practices, but before the election are taking advantage of unfair trading practices.
Guildford Crown Court found the firm's salesmen guilty of using deliberately misleading sales material, in breach of the regulations that protect consumers against unfair trading practices.
And LaBranche, a marketmaker on the New York Stock Exchange, is withholding some 8, 000 e-mails from the exchange in a row over how an investigation into trading practices is being conducted.
Since there is no agreed-upon legal definition of best execution and probably never will be due to the rapidity with which securities trading is evolving, it is obviously impossible to evaluate trading practices for compliance with the standard.
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Earlier this week, Cutler finalized a multiyear investigation into trading practices by specialists on the New York Stock Exchange, bringing civil charges against 20 individuals and scolding the NYSE for failing to police those traders, who are supposed to make efficient markets in listed stocks.
Long-term strategic buyers should use this period to slowly begin additional buy programs and to be prepared that the lack of historic trading practices may give the investor even more favorable prices, interspersed with extremely sharp price spikes as the natural sellers into a rally are reduced in number.
That gets at the heart of what the Judiciary Committee said it was examining Wednesday: Are current laws enough to adequately enforce proper trading practices at hedge funds, or do they need to be strengthened to improve prosecutors' chances of bringing winning criminal cases that result in jail terms?
That is so because no institution (financial or otherwise) would welcome political scrutiny of its lending, trading and bonus practices (to name three) unless it had nowhere else to turn.
The heads of Themis Trading, a firm deep in the middle of all this, every day, published another book, Broken Markets: How High Frequency Trading and Predatory Practices on Wall Street are Destroying Investor Confidence and Your Portfolio.
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It is much easier to pin down criminal activity in Wall Street trading than in the fraudulent or exploitative practices of large banks before and during the financial meltdown of 2008.
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In so doing, I was not the only one to have noted a dramatic shift away from such cases towards investigations involving Ponzi schemes, allegations of insider trading, violations of the Foreign Corrupt Practices Act, or other types of financial improprieties.
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The reform bill does include significant, if watered-down, restrictions on proprietary trading and hedge fund investments by banks, practices blamed for exacerbating the 2008 financial crisis.
The NUS president, who has always championed partnership working in the past, said there would be a "desperate need" for a new universities' "watchdog", with powers to refer university pricing practices to the Office for Fair Trading or the Monopolies Commission and to monitor the accuracy of prospectuses.
As if the attentions of one competition watchdog were not enough, the Office of Fair Trading, too, has two big investigations pending into supermarkets' pricing practices one on milk and other dairy products, the other on tobacco.
With respect to securities trading, generally neither pensions, consultants nor fund of fund managers are aware of the brokerage practices of the underlying managers.
Meanwhile, now that most, if not all, restrictive practices at exchanges are on the way out, market forces can surely be relied on to drive trading costs down.
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