Regulatory Alerts2016-09-30
Added · Updated
Consent Order Regarding RBS Securities Inc.
The Connecticut Banking Commissioner enters a Consent Order against RBS Securities Inc. to resolve an investigation into its parent company's guilty plea for conspiring to rig EUR/USD foreign exchange rates. RBS Securities Inc. must certify compliance with obligations from related CFTC, DOJ, and Federal Reserve orders and submit copies of required reports to the Division within 30 days of entry or submission. The order concludes the Commissioner's investigation regarding the conduct described in those prior regulatory actions and prohibits the respondent from denying the allegations or taking inconsistent positions in future proceedings.
More like this from CTDOB
CTDOB published 3 documents in the last 30 days. We email you each new one the day it's published.