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State Street to pay more than $35 mln to settle U.S. charges -SEC
2017年9月7日 / 下午3点26分 / 14 天前

State Street to pay more than $35 mln to settle U.S. charges -SEC

WASHINGTON, Sept 7 (Reuters) - State Street Corp will pay more than $35 million to settle U.S. charges that it “fraudulently charged secret mark-ups for transition management services,” the U.S. Securities and Exchange Commission said in a statement on Thursday.

State Street also agreed to pay a $3 million penalty without admitting or denying findings that its disclosure failures related to its GovEx government securities trading platform violated the law, the SEC statement said. (Reporting by Susan Heavey)

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