TITLE

TBMA, IFM Working on Voluntary Ethics and Integrity Program

AUTHOR(S)
Hume, Lynn
PUB. DATE
April 2003
SOURCE
Bond Buyer;4/17/2003, Vol. 344 Issue 31617, p6
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Responding to calls from regulators for increased integrity in the financial markets, The Bond Market Association is working with the Institute for Financial Markets to develop a voluntary program of ethics and integrity training for bond market participants. The group embarked on the initiative as Securities and Exchange Commission chairman William Donaldson challenged market participants in several public speeches to go beyond their legal requirements and incorporate integrity and ethics into their business decisions. Donaldson issued the call both at his swearing-in ceremony at the White House in mid-February 2003 and at the Practicing Law Institute's SEC Speaks conference that was held later that month.
ACCESSION #
9766481

 

Related Articles

  • TBMA Protests SEC Proposal on SROs. Hume, Lynn // Bond Buyer;3/10/2005, Vol. 351 Issue 32087, p4 

    Reports that The Bond Market Association (TBMA) has opposed the reforms for self-regulatory organizations (SRO) proposed by the U.S. Securities and Exchange Commission (SEC). Claim of the TBMA that the proposed reforms would change self-regulation; Recognition of the Municipal Securities Rule...

  • Market grapples with Lehmans' demise. Cleary, Alan // Mortgage Strategy;9/22/2008, p17 

    The article analyzes the impact of the bankruptcy of the U.S. company Lehman Brothers Holdings Inc. on the financial industry in Great Britain. According to the author, the event has a huge impact on the Bank of England who acts to the events happening around the world. The author explains that...

  • $223M Lehman Pact with Enron Investors.  // American Banker;9/24/2004, Vol. 169 Issue 185, p20 

    Announces that Lehman Brothers Holdings Inc. agreed to pay millions to settle an investor suit over its role as underwriter for Enron Corp. debt offerings stretching back to 1998. Description of the lawsuit; Terms of the settlement.

  • Lehman Says Neuberger Not Part Of Bankruptcy. Thomas, Trevor // National Underwriter / Life & Health Financial Services;9/22/2008, Vol. 112 Issue 35, p8 

    The article reports that Lehman Brothers Holdings Inc.'s (LBH) broker-dealer division is not included in the Chapter 11 bankruptcy filed in September 15, 2008 in the U.S. Neuberger Berman LLC which is noted to be part of the broker-dealer division will continue to conduct business, along with...

  • First Data Loses Lehman Part Of $2 Billion Revolving Credit Line.  // ISO & Agent Weekly;9/25/2008, Vol. 4 Issue 33, p3 

    The article reports on the declaration of First Data Corp. that it loses 11.5% of a $2 billion revolving credit line because of the bankruptcy of New York-based investment bank, Lehman Brothers Holdings Inc.. The Colorado-based First Data stated in its filling in the U.S. Securities and Exchange...

  • Regulators Assure Lehman Investors Funds Are Safe.  // Money Management Executive;9/22/2008, Vol. 16 Issue 36, p7 

    The article reports that the Securities and Exchange Commission (SEC) has reassured investors that their mutual fund and brokerage accounts are safe at the bankrupted Lehman Brothers Holdings Inc. in the U.S. It states that some of Lehman's staff are working to ensure customer accounts are...

  • Three Ways Money Funds Could Protect the Buck. Steinert-Threlkeld, Tom // Money Management Executive;4/18/2011, Vol. 19 Issue 16, p1 

    The article reports on the plan of the U.S. Securities and Exchange Commission (SEC) to host a roundtable discussion about money market funds. The roundtable aims on how to safeguard against systemic risk involving the funds, the investment industry's 2.8 trillion dollars alternative to checking...

  • Barclays Pays $15 Million to Settle SEC Charges. Glazier, Kyle // Bond Buyer;9/24/2014, Vol. 1 Issue 34183, p1 

    The Securities and Exchange Commission has charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system after it acquired the advisory business of Lehman Brothers in September 2008.

  • Barclays Pays $15 million To Settle SEC Charges. Glazier, Kyle // Bond Buyer;9/24/2014, Vol. 1 Issue 34183, p1 

    The Securities and Exchange Commission has charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system after it acquired the advisory business of Lehman Brothers in September 2008.

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics