\nAutoritatea pentru Reglementare \u00een Industria Finaciar\u0103 (Finra) din SUA a amendat \u00een ultimele cinci luni \u015fi alte institu\u0163ii financiare pentru nereguli similare, inclusiv Morgan Stanley, Deutsche Bank, Goldman Sachs \u015fi Citigroup, potrivit Bloomberg.<\/p>\n
\nFinra este un organism de autoreglementare al traderilor de obliga\u0163iuni \u015fi este finan\u0163at\u0103 din contribu\u0163iile membrilor \u015fi din amernzi.<\/p>\n
\nDealerii de pe Wall Street care nu raporteaz\u0103 la timp tranzac\u0163iile pot ob\u0163ine un avantaj incorect \u00een fa\u0163a clien\u0163ilor care vor un pre\u0163 corect \u015fi submineaz\u0103 obiectivul Finra de a asigura tuturor participan\u0163ilor la pia\u0163\u0103 acces egal la informa\u0163ii, scrie Bloomberg.<\/p>\n
\nJPMorgan a str\u00e2ns cele mai multe \u00eenc\u0103lc\u0103ri ale regulilor, \u00een urma a cinci analize separate, potrivit unui acord amiabil \u00eencheiat de banc\u0103 cu Finra \u00een aprilie.<\/p>\n
\nBanca, cel mai mare trader de obliga\u0163iuni, nu a notificat \u00een privin\u0163a tranzac\u0163iilor sau a transmis datele t\u00e2rziu \u00een cel pu\u0163in 6.300 de cazuri \u00een intervalul martie 2010-mai 2012. \u00cen unele situa\u0163ii, banca nu a raportat chiar \u015fi un sfert din tranzac\u0163ii, potrivit organiza\u0163iei.<\/p>\n
\nJPMorgan, care anul trecut a \u00eenregistrat profit de 18 miliarde de dolari, a acceptat s\u0103 pl\u0103teasc\u0103 95.000 de dolari \u015fi recomand\u0103rile raportului Finra f\u0103r\u0103 s\u0103 admit\u0103 \u00eens\u0103 sau s\u0103 nege acuza\u0163iile, se arat\u0103 \u00een acordul amiabil.<\/p>\n
\nMorgan Stanley a primit o amend\u0103 de 35.000 de dolari, dup\u0103 ce nu a raportat la timp tranzac\u0163iile \u00een cel pu\u0163in 4.200 de situa\u0163ii \u00een perioada mai 2011-martie 2013.<\/p>\n
\nDeutsche Bank, cea mai mare banc\u0103 din Germania a \u00eenc\u0103lcat de 1.400 de ori regulile \u015fi a fost amendat\u0103 cu 55.000 de dolari, \u00een timp ce Goldman Sachs, cu 200 de cazuri, a fost penalizat\u0103 cu 20.000 de dolari.<\/p>\n
\nCitigroup, cu 180 de astfel de incidente, trebuie s\u0103 pl\u0103teasc\u0103 60.000 de dolari, arat\u0103 documentele Finra.<\/p>\n","protected":false},"excerpt":{"rendered":"
JPMorgan Chase, cea mai mare banc\u0103 din SUA dup\u0103 active, a fost amendat\u0103 cu 95.000 dolari, sum\u0103 egal\u0103 cu profitul pe care l-a ob\u0163inut anul trecut \u00een circa 3 minute, dup\u0103 ce nu a raportat adecvat de 6.300 de ori tranzac\u0163ii cu obliga\u0163iuni c\u0103tre un sistem de urm\u0103rire a pre\u0163urilor.<\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[510],"tags":[9124,9422,106],"class_list":["post-107324","post","type-post","status-publish","format-standard","hentry","category-actualitate","tag-amenda","tag-jpmorgan-chase","tag-sua"],"_links":{"self":[{"href":"https:\/\/bm.dev.synology.me\/index.php?rest_route=\/wp\/v2\/posts\/107324","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bm.dev.synology.me\/index.php?rest_route=\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bm.dev.synology.me\/index.php?rest_route=\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bm.dev.synology.me\/index.php?rest_route=\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/bm.dev.synology.me\/index.php?rest_route=%2Fwp%2Fv2%2Fcomments&post=107324"}],"version-history":[{"count":0,"href":"https:\/\/bm.dev.synology.me\/index.php?rest_route=\/wp\/v2\/posts\/107324\/revisions"}],"wp:attachment":[{"href":"https:\/\/bm.dev.synology.me\/index.php?rest_route=%2Fwp%2Fv2%2Fmedia&parent=107324"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bm.dev.synology.me\/index.php?rest_route=%2Fwp%2Fv2%2Fcategories&post=107324"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bm.dev.synology.me\/index.php?rest_route=%2Fwp%2Fv2%2Ftags&post=107324"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}