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The regulator discovered that for a decade the firm’s reports lacked key futures and options data. Problems with Morgan Stanley’s proprietary reporting software played a major role in the omissions.
The CFTC has ordered Morgan Stanley and Co. to pay a $350,000 penalty for omitting futures and options data from its required part 17 large trader reports. Morgan Stanley’s omissions spanned a 10-year period, from 2007 to 2017, and affected “thousands of line items of information,” according to the CFTC’s order, which simultaneously filed and...
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