Sentence examples for traders misconduct. from inspiring English sources

Officials presented a minimal amount of evidence, lacking the full details of the traders' misconduct.

The CFTC said its investigation found the traders' misconduct took place between 2009 and 2012.

How to manage and mitigate risks, such as operational risk and traders' misconduct, in financial markets with HFT present?

He later says reading them made him feel "physically ill" and that it was the first he knew of trader misconduct.

"We have disciplined or dismissed individuals involved in the trader misconduct; have substantially strengthened our control teams, procedures and record-keeping; and are conducting a thorough review of the bank's actions in addressing this matter," they said.

Deutsche, under pressure from shareholder to restructure the business, said no current or former member of the management board was found to have been involved in or aware of the trader misconduct.

"We have disciplined or dismissed individuals involved in the trader misconduct; have substantially strengthened our control teams, procedures and record-keeping; and are conducting a thorough review of the Bank's actions in addressing this matter".

In a statement, Deutsche Bank said it had disciplined or dismissed individuals involved in the trader misconduct, strengthened its control teams, procedures and record-keeping, and is conducting a thorough review of how the bank addressed the problem when it came to light.

"The tone is set at the top," Walter G. Ricciardi, deputy director of enforcement at the S.E.C., told The New York Times "If higher-ups request tickets from a trading desk,it may send a message to the traders that such misconduct is tolerated and could contribute to the breakdown of the compliance culture on the desk".

"The tone is set at the top," said Walter G. Ricciardi, deputy director of enforcement at the S.E.C. "If higher-ups request tickets from a trading desk,it may send a message to the traders that such misconduct is tolerated and could contribute to the breakdown of the compliance culture on the desk".

If a trader engages in misconduct, the SEC can sue the management with "failure to supervise".