金融监管

Morgan Stanley settles case tied to trades by First Republic founder
摩根士丹利200万美元了结监管机构指控

Massachusetts regulator says Wall Street firm failed to police stock sales in run-up to failure of California regional bank
监管机构称,这家华尔街银行未能确保第一信托银行创始人在该行倒闭前下单的售股交易不是基于内幕信息。

Morgan Stanley is paying $2mn to settle allegations that it failed to ensure trades it completed for a former top executive of First Republic Bank in the run-up to the bank’s collapse last year were not based on insider information.

摩根士丹利(Morgan Stanley)将支付200万美元以了结监管机构的指控,指控称其未能确保去年第一信托银行(First Republic Bank)倒闭前该行一名高管下单的交易不是基于内幕信息;摩根士丹利执行了这些交易。

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