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Morgan Stanley Hit With $15 Million SEC Fine Over Client Fund Theft
- According to the regulator, the firm's weak policies enabled hundreds of illegal transactions between 2015–2022.
- “Compliance policy failures let financial advisors make hundreds of unauthorized transfers,” said SEC's Wadhwa.
Tuesday, 10/12/2024 | 08:10 GMT by
Damian Chmiel
MUFG Units Hit with Regulatory Action over Client Data Breaches in Japan
- Japan's FSA penalizes MUFG units for unauthorized sharing of client data.
- The regulator orders business improvements and mandates the submission of detailed plans by July 24, 2024.
Monday, 24/06/2024 | 07:46 GMT by
Damian Chmiel
Neil Phillips FX Case Puts Morgan Stanley in the Limelight
- The Co-Founder of Glen Point Capital faces trial for allegedly defrauding Morgan Stanley in FX trades.
- The case highlights the bank as the purported victim, raising questions about its conduct in the FX market.
Monday, 16/10/2023 | 13:21 GMT by
Damian Chmiel
Morgan Stanley Reportedly in Talks for Bithumb Acquisition
- The acquisition deal could be sealed for up to $441 million.
Friday, 19/03/2021 | 08:36 GMT by
Arnab Shome
Morgan Stanley Explores Bitcoin Investment Options
- The firm’s $150 billion investment arm is planning to invest in Bitcoin.
Monday, 15/02/2021 | 06:59 GMT by
Bilal Jafar
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