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BlackRock & Morgan Stanley Embrace Desktop Integration Standard

October 8, 2024 by Eugene Grygo

BlackRock & Morgan Stanley Embrace Desktop Integration Standard

A greater level of desktop application interoperability between buy- and sell-side firms may be coming as BlackRock and Morgan Stanley embraced an open source standard overseen by the Fintech Open Source Foundation (FINOS), which held its annual Open Source in Finance Forum in New York City (OSFF NY) last week. The standard known as FDC3… Read More >>

Filed Under: Derivatives Operations, Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Data Management, FX Operations, Hedge Fund Operations, Industry News, Sell-Side, Governance, Data Science, Digital Transformation, FinTech Trends, Back-Office, Integration, Standards, Industry News Tagged With: Aladdin platform, automation, back office, Blackrock, data management, desktop, FINOS, Morgan Stanely, Securities Operations, standards and guidelines, wall street

Morgan Stanley Settles Wrap-Fee Case with SEC

May 20, 2020 by Louis Chunovic

Morgan Stanley Settles Wrap-Fee Case with SEC

Morgan Stanley Smith Barney (MSSB) is settling charges that it provided misleading information to retail clients in its retail wrap fee programs regarding trade execution services and transaction costs, and the firm will pay a $5 million penalty that will be distributed to harmed investors, the U.S. Securities and Exchange Commission (SEC) reports. The commission’s… Read More >>

Filed Under: Securities Operations, Buy-Side, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Risk Management, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), Back-Office, Standards, Performance Measurement, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: fines, Morgan Stanely, Morgan Stanley Smith Barney (MSSB), operational risk, penalities, regulation, retail investor, SEC, settlement, wall street

California Alleges Morgan Stanley Misled Key Pension Funds

April 14, 2016 by Louis Chunovic

The State of California has filed suit against Morgan Stanley & Co., accusing it of knowingly misleading the California Public Employees’ Retirement System (CalPERS) and the California State Teachers’ Retirement System (CalSTRS), enticing the two huge pension funds to buy toxic mortgage-backed securities during the housing bubble that led to the Great Recession. The complaint,… Read More >>

Filed Under: Operational Risk, General Interest, AML/Fraud/Financial Crime, Regulation & Compliance, Industry News Tagged With: California False Claims Act, CalPERS, CalSTRS, Corporate Securities Law of 1968, False Advertising Law, fines, Morgan Stanely, mortgage-backed securities, Pension Funds, subprime deb, Unfair Competition Law

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