- Announced that it has filed and settled charges against Morgan Stanley Capital Services LLC a provisionally registered swap dealer
- The order requires Morgan Stanley to pay a $5 million civil monetary penalty
- This case demonstrates once again the importance of complying with the CFTC’s swap data reporting requirements
- The CFTC will also continue to scrutinize closely entities that do not meet their reporting obligations
- The order recognizes Morgan Stanley’s cooperation with the Division of Enforcement’s investigation in the form of a reduced civil monetary penalty
- The CFTC thanks and acknowledges the assistance of the National Futures Association in this matter
CFTC: Orders Morgan Stanley Capital Services LLC to Pay $5 Million
