The Financial Industry Regulatory Authority fined brokerage Barclays Capital Inc. $650,000 for failing to accurately report fixed-income transactions to the regulator's trade reporting and compliance engine, a comparatively hefty penalty for an alleged TRACE-related reporting violation.

FINRA - Financial Industry Regulatory Authority

Source

Published on Dec. 1st, 2020 Published on Dec. 1st, 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.