United States: Firm Settles NYSE Charges Of Supervisory Failures Over "Market On Close" Orders - Cadwalader, Wickersham & Taft LLP

Mondaq

12 Jul 2021 0 shares 1 views

Mondaq

Published 12 Jul 2021

A firm settled NYSE charges for failing to have in place a reasonable supervisory system designed to detect errors in "Market on Close" orders.

Full Article

United States: Firm Settles Charges For Supervisory And Risk Management Control Violations - Cadwalader, Wickersham & Taft LLP

Mondaq 30 Jul 2021

A firm providing execution and routing services to broker-dealers settled FINRA and NYSE Arca charges for failing to establish,..

Mondaq 26 Jul 2021

A firm and its former CEO settled SEC charges for accounting, reporting and internal control failures that resulted in a multi-year..