OCC to pay $20 million penalty for risk failures, in enforcement first

5th September, 2019

Sharon Thiruchelvam
chicagoGIG

The SEC and CFTC charge the US clearing giant for risk policy and reporting failures

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ABN AMRO
Bank of America
CBOE
Citi
Goldman Sachs
DRW Holdings
HSBC
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Marex
Morgan Stanley
SGX
SocGen
Susquehanna
MUFG Investor Services
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ABN AMRO
Bank of America
CBOE
Citi
Goldman Sachs
DRW Holdings
HSBC
J.P Morgan
Marex
Morgan Stanley
SGX
SocGen
Susquehanna
MUFG Investor Services
TP ICAP

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