Morgan Stanley reported

Risk staff
01 Oct 2006

Tweet
Facebook
LinkedIn
Save this article
Send to
Print this page

Regulation

The securities industry watchdog said the number and scope of the violations indicated extensive reporting problems at both Morgan Stanley & Co, Inc. and Morgan Stanley DW Inc.

Both firms are required to produce reports to the NASD detailing ongoing and completed corrective actions being taken to ensure that each one of them has adequate policies, procedures, systems and training necessary to ensure regulatory compliance.

The NASD also found that both firms incorrectly reported thousands of transactions through the Nasdaq Market Center in Nasdaq National Market securities, over-the-counter equity securities and listed securities.

Tweet
Facebook
LinkedIn
Save this article
Send to
Print this page

Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.

To access these options, along with all other subscription benefits, please contact [email protected] or view our subscription options here: http://subscriptions.risk.net/subscribe

You are currently unable to print this content. Please contact [email protected] to find out more.

You are currently unable to copy this content. Please contact [email protected] to find out more.

You may share this content using our article tools. Printing this content is for the sole use of the Authorised User (named subscriber), as outlined in our terms and conditions - https://www.infopro-insight.com/terms-conditions/insight-subscriptions/

If you would like to purchase additional rights please email [email protected]

You may share this content using our article tools. Copying this content is for the sole use of the Authorised User (named subscriber), as outlined in our terms and conditions - https://www.infopro-insight.com/terms-conditions/insight-subscriptions/

If you would like to purchase additional rights please email [email protected]

You are currently on corporate access.