Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Swiss Re Financial Products Corporation
Current Parent Company: Swiss Re
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $95,000
Year: 2007
Date: September 18, 2007
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: Switzerland
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: insurance
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.