The Fed is reported to be assessing whether Morgan Stanley has sufficient controls in place to prevent wealthy foreign customers from laundering money.
November 13, 2023Eight US banks are accused of conspiring to artificially inflate the interest rates on debt securities between 2008 and 2016.
September 25, 2023ING scored above average for eight out of the ten areas of the TPI’s assessment framework. JP Morgan and Morgan Stanley scored above average on two areas.
September 6, 2023The plaintiffs say Mitsubishi UFJ Morgan Stanley Securities sold them the AT1 bonds without providing sufficient explanations and in violation of suitability rules.
September 1, 2023Goldman Sachs, JPMorgan Chase, Morgan Stanley and UBS denied wrongdoing but agreed to settle the lawsuit to avoid further litigation.
August 25, 2023This is the first-ever fine issued in the UK for failures to record and retain electronic communications relating to energy market trades.
August 24, 2023The firms erroneously recorded margin trading transactions. One firm also did not properly document reasons for client-directed order amendments.
August 2, 2023The new unit will be the second futures business in China to be wholly owned by a foreign bank, after JPMorgan Chase won a similar approval in 2020.
May 29, 2023The CMA "provisionally" found that five global banks broke competition law in the aftermath of the global financial crisis.
May 25, 2023Indonesia sold a JPY 104.8 billion blue bond with four-tranches, less than two years after establishing a framework to do so.
May 22, 2023