Morgan Stanley Discloses Regulators' Request for Business Communications Records

NEW YORK (Reuters) -Morgan Stanley disclosed in a submitting on Wednesday that it is responding to “requests for details from regulators regarding its compliance with report-holding requirements.”

The ask for is related to company communications on messaging platforms that were not accepted by the agency, the bank stated in a regulatory submitting.

Reuters described very last Oct that the U.S. Securities and Trade Commission (SEC) was on the lookout in to how Wall Avenue banking companies retained track of employees’ work-connected digital communications, these kinds of as text messages and email messages.

Morgan Stanley also claimed on Wednesday that it may face civil liabilities from promises filed by block trade transaction contributors or other persons “who contend they were harmed … as a final result of a share price tag decline allegedly brought on by the functions of the Agency and/or its personnel.”

In February, Morgan Stanley disclosed that U.S. regulators and prosecutors have been probing numerous features of its investment decision bank’s block trading small business. That disclosure followed experiences that the U.S. Securities and Exchange Commission (SEC) was investigating no matter if fiscal executives had damaged guidelines by tipping off hedge cash forward of big product sales of shares, recognised as “block trades”.

(Reporting by Elizabeth Dilts Marshall in New YorkEditing by Chris Reese and Matthew Lewis)

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