RBC Capital Markets LLC has agreed to pay the U.S. Securities and Exchange Commission $863,000 to resolve claims related to its dealings with unregistered brokers known as "flippers" who resold municipal bonds at a profit, while two top traders also reached related settlements with the agency.

SEC - Securities and Exchange Commission

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Published on Sept. 17th, 2021 Published on Sept. 17th, 2021

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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.