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

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

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A firm providing execution and routing services to broker-dealers settled FINRA and NYSE Arca charges for failing to establish, document and maintain a supervisory system, including written supervisory procedures, ...

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