CFTC fines Merrill Lynch for auditing failures

11th September, 2019

James Thursfield
CFTCGIG

Regulator imposes $300,000 fine for procedural failures relating to reporting

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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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