United States: Firm Settles NYSE Charges Of Supervisory Failures Over "Market On Close" Orders - Cadwalader, Wickersham & Taft LLP

Mondaq

12 Jul 2021 0 shares 1 views

Mondaq

Published 12 Jul 2021

A firm settled NYSE charges for failing to have in place a reasonable supervisory system designed to detect errors in "Market on Close" orders.

United States: Firm Settles Charges For Supervisory And Risk Management Control Violations - Cadwalader, Wickersham & Taft LLP

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