Morgan Stanley fined a total of $500,000, of which $120,298 is payable to FINRA for violation of FINRA Rules. The others matters were brought by New York Stock Exchange.

FINRA - Financial Industry Regulatory Authority

Source

Published on Sept. 28th, 2022 Published on Sept. 28th, 2022

To read more operational risk news, register for free on MSTAR Platform.

MSTAR News

Oct. 10th, 2022

MSTAR at OpRisk North America 2022

Join us at the Oprisk North America Executive boardroom:Scenario construction "taking a standardized approach to benchmarking risk exposures".