The Financial Industry Regulatory Authority has fined Morgan Stanley $875,000 for failing to provide accurate trade data, also known as blue sheets, in an automated format in a timely manner when requested by FINRA and the SEC.

FINRA - Financial Industry Regulatory Authority

Source

Published on Jul. 7th, 2020 Published on Jul. 7th, 2020

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Sept. 20th, 2021

ORX Forum

ELSEWARE/MSTAR will be speaking on climate stress on operational risk at the ORX forum on September 23. In particular, we will be presenting the work we have done on this topic with the American Bankers Association and a group of banks.