SEC says Morgan Stanley agrees to pay $5 million for violations in prime brokerage swaps business

by Aurelia Butler 30 September 2020, 13:25 129 Views

The firm did not admit or deny the regulator’s charges, but has consented to a cease-and-desist order, which imposing a censure, in addition to paying the penalty, the SEC said.

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SEC says Morgan Stanley agrees to pay $5 million for violations in prime brokerage swaps business

Barkin: U.S. challenge is finding jobs for 'last 5%' displaced by crisis – BBG

ECB should rethink second tier of mandate: Villeroy

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