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Goldman Sachs Execution and Clearing was penalized for problems with its Order Audit Trail Systems (OATS), signaling that the regulator is paying closer attention to these issues.
Goldman Sachs’ clearing arm was recently forced to pay $1.8 million by the Financial Industry Regulatory Authority (FINRA) for trade reporting errors that spanned several years, a move industry observers say signals a renewed focus on this area on the part of regulators. Goldman Sachs Execution and Clearing L.P. agreed to pay in response to...
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