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FCPA Blog Daily News

Entries in Morgan Stanley (40)


Job: Global Financial Crimes: Anti-Corruption Group Manager

Job Title: Global Financial Crimes: Anti-Corruption Group Manager

Employer: Morgan Stanley

Location: New York, NY USA

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FINRA penalizes Morgan Stanley $13 million for failing to supervise salespeople

The Financial Industry Regulatory Authority (FINRA) said Wednesday it penalized Morgan Stanley Smith Barney LLC about $13 million for failing to supervise its representatives’ short-term trades of unit investment trusts.

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Ex-Morgan Stanley trader hid Venezuela bond trades from compliance reviews

The Financial Industry Regulatory Authority (FINRA) barred a former Morgan Stanley representative for concealing the customers behind around $190 million in Venezuelan bond trades.

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Allanna Skeels: Fraud against organizations shifts to the cyber realm

There is an evident shift in fraud typologies away from traditional real world frauds, such as card skimming, fraudulent documents, social engineering, etc., toward cyber frauds, such as cyber intrusion, phone cloning, malware and fake apps (mal-apps).

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Compliance Alert: Enforcement hammer falls on real estate

Regulators charged with enforcing anti-corruption, anti-money laundering, and economic sanctions laws and regulations have turned new attention to the real estate industry, and investigations and enforcement efforts span the globe.

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This Morgan Stanley isn't the Morgan Stanley you think it is

The UK Financial Conduct Authority issued a warning Monday about a cloned firm using Morgan Stanley's name and London address to take money from victims.

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HSBC: SEC investigating Asia hiring practices

HSBC Holdings said in an earnings release Monday that the SEC is investigating the bank's hiring practices in Asia.

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Brazil investigates big banks for exchange rate manipulation

Brazil's antitrust agency opened an investigation into fifteen foreign banks and thirty individuals for allegedly forming a cartel to manipulate exchange rates of local Brazilian reals and foreign currency.

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BNY Mellon pays $15 million in FCPA settlement for internship hiring practices

The Securities and Exchange Commission Tuesday said BNY Mellon agreed to pay $14.8 million to settle charges that it violated the Foreign Corrupt Practices Act by providing valuable student internships to family members of foreign government officials affiliated with a Middle Eastern sovereign wealth fund.

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Report: DOJ hires expert to evaluate target company compliance programs

There were reports last week that the DOJ is hiring a compliance expert. He or she will help evaluate whether to charge corporations that fail to detect and prevent wrongdoing by employees.

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PetroTiger joins Morgan Stanley with rare DOJ public declination

For only the second time in FCPA history, the DOJ Monday made a public announcement that it wouldn't prosecute a company that cooperated in building a case against a former officer.

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New SEC subpoena asks if BNY Mellon hired government officials

In a securities filing this month, Bank of New York Mellon Corp. said it received a subpoena from the SEC asking about job offers to government officials and internships awarded to their family members.

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