Morgan Stanley unit to pay $10 mln fine for anti-money laundering violations [Reuters]
Morgan Stanley (MS)
Last morgan stanley earnings: 4/16 07:15 am
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Source: Reuters
Morgan Stanley unit to pay $10 million fine for anti-money laundering violations | Reuters 3 Min Read (Reuters) - Wall Street’s industry funded watchdog fined the U.S. brokerage unit of Morgan Stanley ( MS.N ) $10 million on Wednesday for compliance failures in the firm’s anti-money laundering program, the regulator said. The Financial Industry Regulatory Authority (FINRA) said the lapses spanned more than five years, from January 2011 until April 2016. Morgan Stanley, which agreed to the fine as part of a settlement, did not admit nor deny FINRA’s charges, but consented to the entry of the regulator’s findings. “We are pleased to have resolved this matter from several years ago,” Morgan Stanley said in a statement. FINRA rules require brokerages to have policies and procedures in place to comply with a federal law aimed at detecting and curbing money laundering. A Morgan Stanley automated surveillance system did not receive important data from other Morgan Stanley systems, FINRA sa
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MS
Earnings
- 4/16/24 - Beat
MS
Sec Filings
- 5/7/24 - Form 424B2
- 5/7/24 - Form 424B2
- 5/7/24 - Form 424B2
- MS's page on the SEC website