IAA 1940 Rule 203(e)(6) – Global Relay Intelligence & Practice

IAA 1940 Rule 203(e)(6)

Enforcement

Morgan Stanley Smith Barney fined $1.5m for inadequate supervision

December 11, 2024

Firm found to have no policy or procedure in place that could have detected misappropriation of $10m.

Julie DiMauro2 min read