Newsmakers
Bloomberg Settles SEC Charges of Misleading Pricing Disclosures
Firm pays $5 million fine related to its BVAL service’s fixed-income pricing.
Tag: Fine
Regulation
Morningstar to Pay $3.5 Million SEC Conflict of Interest Penalty
Analysts conducted both sales and ratings operations, the US securities regulator said.
Regulation
Bloomberg Fined $5 Million by SEC for Brokerage Practices
The company’s subsidiary, Bloomberg Tradebook, allegedly transferred low-commission client orders to unaffiliated broker dealers.
Asset Allocation
Athene Fined $45 Million for Unlicensed Pension Risk Transfers
New York regulator said the firm illegally entered into 14 risk transfer deals.
FCA Fines Goldman Sachs £34.3 Million for Reporting Failures
Firm allegedly made more than 220 million errors over nearly a decade.