Latest News
- Derivatives Operations +
-
Securities Operations
+
- Affirmation, Allocation & Confirmation
- Back Office
- Buy-Side
- Case Studies
- Clearing
- Corporate Actions
- Data Management
- FX Operations
- Hedge Fund Operations
- Industry News
- Mergers & Acquisitions
- Middle-Office
- Operational Risk
- Ops Automation
- Outsourcing
- Private Markets
- Reconciliation & Exceptions
- Risk Management
- Sell-Side
- Settlement
- T+1 Settlement
- Diversity & Human Interest +
- FinTech Trends +
- Opinion +
- Performance Measurement +
- Regulation & Compliance +
- Industry News +
- FTF Media & Content Channels +
- FTF Bull Run Blog
FINRA alleges that the Deutsche Bank Securities subsidiary spread confidential information via its “hoot-and-holler” system.
Deutsche Bank Securities Inc., an indirect, wholly owned subsidiary of the German institution, will be paying a $12.5 million fine for “significant supervisory failures” that allowed “confidential, price-sensitive information” to be spread among employees via the “hoot and holler” system of internal speakers or “squawk boxes” that populate trading floors and offices. Officials as the...
Already a subscriber? Login here
