FINRA - Financial Industry Regulatory Authority
FINRA Fines Merrill Lynch $450K for potential insider information leaks. Merrill Lynch has agreed to pay a $450K fine after the physical relocation of one of the firm's investment management units led to the "potential" sharing of material nonpublic information, according to a settlement with the Financial Industry Regulatory Authority.
To read more operational risk news, register for free on MSTAR Platform.
Register for free