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Lexology PRO | United Kingdom, USA | 23 Aug 2023
UK fines Morgan Stanley subsidiary over record-keeping failures
The UK’s energy regulator has fined a local subsidiary of Morgan Stanley £5.4 million for failing to keep records of electronic communications between employees.
Lexology PRO | United Kingdom | 24 May 2023
UK issues chargesheet in government bond cartel probe
The UK’s Competition and Markets Authority has accused HSBC, Morgan Stanley, Citi, Deutsche Bank and Royal Bank of Canada of unlawfully exchanging commercially sensitive information about government bonds in the aftermath of the global financial crash.
Lexology PRO | USA | 4 Oct 2022
Fed names six banks for its “not a stress test” climate scenario exercise
Bank of America, Citigroup, Goldman Sachs, JPMorgan Chase, Morgan Stanley and Wells Fargo are set to undertake next year’s pilot climate scenario exercise with the Federal Reserve – but it’s definitely not a stress test, the central bank has insisted.
Lexology PRO | USA | 28 Sep 2022
US regulators issue $1.8 billion in fines over personal messaging usage
The SEC has announced a “first-of-its-kind group resolution” against 11 financial institutions for breaching rules governing the use of personal devices at work.
Lexology PRO | Australia, European Union, Global, etc. | 26 Sep 2022
Data protection: key compliance updates (20 – 26 Sep)
The US SEC fines Morgan Stanley US$35 million for selling hard drives containing customer data, hackers access millions of customers’ data from Optus, and Indonesia passes its first data protection law – plus other key updates.
Lexology PRO | USA | 20 Sep 2022
Morgan Stanley fined after hard drives with customer data sold on
The US Securities and Exchange Commission has ordered Morgan Stanley to pay $35 million after thousands of hard drives containing data on millions of customers were resold on online auction sites.
Khaitan & Co | India | 12 Aug 2021
Ergo analysing developments impacting business: Tribunal holds BVI company re-domiciled in Mauritius entitled to india-Mauritius tax treaty benefits, also holds agency pe to be tax neutral
In a first ruling on the issue, the Income Tax Appellate Tribunal, Mumbai (Tribunal) in its recent judgment in the case of Asia Today Limited…
Lexology PRO | Asia-Pacific, Australia, Central & South America, etc. | 12 Jul 2021
Data protection: key compliance updates (6 – 12 Jul)
Training initiatives in the UK to protect children online, recommendations on regulating AI in France and Australia, a new Consumer Data Right in New Zealand, and advice by Denmark on how to avoid being tracked – plus other key data protection updates.
Lexology PRO | Asia-Pacific, China, USA | 7 Jul 2021
Didi sued for misleading investors on China investigation
Ride-sharing app operator Didi faces at least two class action lawsuits claiming the company failed to disclose data issues that led to it being pulled from Chinese app stores.
PRO Compliance | USA | 12 Oct 2020
Morgan Stanley fined $60m for 2016 and 2019 data breaches
The US Office of the Comptroller of the Currency has fined Morgan Stanley $60 million for two data breaches – including one dating back to 2016 – that the bank failed to disclose until July 2020.
