Sentence examples for trading violations from inspiring English sources

The commission's report said the Amex surveillance methods understated trading violations, rarely referred violations to disciplinary committees and did not punish violators when cases were referred.

The two have a history of trading violations.

Accounting scandals, insider trading violations, and bailouts have taken a toll.

Other considerations are the specter of insider trading violations, and complying with the federal securities laws.

Under current law, the agency can only impose fines for insider trading violations.

He was detained on suspicion of multiple offences, including embezzlement, falsifying documents, and stock and bond trading violations.

An insider trading violation requires proving the defendant breached a duty of "trust and confidence" by misusing the information for personal gain or tipping others.

One element of an insider trading violation is a breach of fiduciary duty, which Mr. Gupta owed to the firm in his role as a director.

The Securities and Exchange Commission has fined the wife of Genentech Inc.'s president and chief executive $162,400 in settlement of her role in an insider trading violation.

An insider trading violation occurs when the securities trades were executed, so that is when the clock begins to tick for prosecutors to file charges — absent a waiver by a defendant.

The case surfaced earlier this week, when KPMG issued a statement saying that it had fired the partner in charge of its audit practice in Southern California because of an insider trading violation and that it was resigning as auditor for two companies — Herbalife and Skechers — because its independence had been compromised.