FTF News

  • Sign-Up for FTF Email Alerts
  • Login
FTF NEWS
Subscribe Now
  • Home
  • News
  • Events
  • Awards
  • Research
  • FTF SERVICES
  • Podcast
  • Bull Run Blog

SEC Penalizes State Street $35M+ in Transition Management Case

September 15, 2017 by Louis Chunovic

The SEC reports that State Street, the venerable, Boston-based financial services company founded in 1792, has agreed to pay more than $35 million to settle charges that it “fraudulently charged secret markups for transition management services and separately omitted material information about the operation of its platform for trading U.S. Treasury securities.” “Transition management,” the… Read More >>

Filed Under: Derivatives Operations, Securities Operations, Governance, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting Tagged With: SEC, settlement, State Street, Transition Management

  • Home
  • FTF SERVICES
  • News
  • FTF Bull Run Blog
  • Contact
  • Events
  • Privacy
  • About
  • FTF Research Institute
  • Awards
  • Terms
  • Buyer’s Guide
  • Reprints

Follow Us

Copyright © FTF News 2019 Financial Technologies Forum LLC

Join FTF
Premier Today!

Already a Member? Click here to Login

Unlimited FTFNews.com article access
FTF Special Reports
Digital issues of FTF Focus Magazine
Video Interviews
Podcasts
Weekly News Alerts
Discount on FTF Conferences and Events
Discount on FTF Training Seminars
Print Issues of FTF Focus Magazine
Annual delivery of printed FTF Buyer's Guide
Online Trial
Try FTF Premier
Online
$1
For 4 Weeks
 
 
 
 
FTF Premier FULL
FTFNEWS.COM
MEMBERSHIP
$10$120
PER MONTHPER YEAR
FTF ON DEMAND
TRY FTF PREMIER ONE
ARTICLE AT A TIME
$1.99
AND UP
$1.99 PER ARTICLE
$9.99 PER REPORT
$9.99 PER ISSUE
 
 
 
 
 
 
 

Join FTF
Premier Today!

Already a Member? Click here to Login

Unlimited FTFNews.com article access
FTF Special Reports
Digital issues of FTF Focus Magazine
Video Interviews
Podcasts
Weekly News Alerts
Discount on FTF Conferences and Events
Discount on FTF Training Seminars
Print Issues of FTF Focus Magazine
Annual delivery of printed FTF Buyer's Guide
Online Trial
Try FTF Premier
Online
$1
For 4 Weeks
 
 
 
 
FTF Premier FULL
FTFNEWS.COM
MEMBERSHIP
$10$120
PER MONTHPER YEAR
FTF ON DEMAND
TRY FTF PREMIER ONE
ARTICLE AT A TIME
$1.99
AND UP
$1.99 PER ARTICLE
$9.99 PER REPORT
$9.99 PER ISSUE
 
 
 
 
 
 
 
  • Home
  • News
  • Events
  • Awards
  • FTF Research Institute
  • FTF SERVICES
  • Bull Run Blog
  • Email Alerts
  • Log In
  • My Account
  • Log Out