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Citigroup Global Markets hit with $2.9m SEC underwriting expenses recordkeeping penalty

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Citigroup Global Markets (CGMI) has settled a US$2.9 million penalty with the US Securities and Exchange Commission (SEC) for underwriting expenses recordkeeping violations. The SEC...

State Street serves up ‘Cods and Chips’ in European bond market...

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State Street has helped to uncover chatrooms, including one called "Cods and Chips" that are alleged to have been used by sell-side traders to...

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