Morgan Stanley为第一共和国银行内幕交易监视器故障支付2百万元结算费 Morgan Stanley pays $2M settlement over First Republic Bank's insider trading monitor failure.

Morgan Stanley同意向马萨诸塞证券司支付一笔200万美元的和解,因为该公司未能监测与第一共和国银行执行总裁James Herbert II有关的内幕交易。 Morgan Stanley has agreed to pay a $2 million settlement to the Massachusetts Securities Division for failing to monitor insider trading related to First Republic Bank's executive chairman, James Herbert II. 在2021年银行倒闭之前 他卖出了超过680万美元的股票 He sold over $6.8 million in stock prior to the bank's collapse in 2021. 这一解决办法不涉及承认错失行为,引起人们对银行有效管理风险和监测客户交易的能力的关切。 The settlement, which does not involve an admission of wrongdoing, raises concerns about banks' abilities to manage risks and monitor client transactions effectively.