Monday, January 24, 2022

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CFTC: Orders Morgan Stanley Capital Services LLC to Pay $5 Million

  • 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
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