IOSCO issued a Consultation Report containing policy approaches to enhance protections for retail investors purchasing OTC leveraged products.
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Morgan Stanley Smith Barney LLC and Citigroup Global Markets, Inc. agreed to pay over $2.96 million each to settle SEC charges of misleading investors about a foreign exchange trading program.
The SEC settled charges against a bank for misleading mutual fund companies and other custody clients by applying hidden markups to foreign currency exchange trades.