ICAP To Pay USD2.8 Million For Supervisory FailuresFinancial Industry Regulatory Authority (FINRA) has fined ICAP Corporates LLC, of Jersey City, USD2.8 million and sanctioned a former broker for numerous improper communications with other interdealer brokerage firms about customers' proposed brokera ...The full article is available to registered visitors. |
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Mandate Watch
24 Jun 2010- Provider: State Street
- Client: Guotai Asset Management
- Asset Value: n/a
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