国道街支付3.82亿美元的误导客户，包括共同基金，以外币兑换交易中的隐藏加价

证券交易bob200体育委员会已与州街银行和信托公司达成了全球和解。根据监管机构的说法，州街误导了包括共同基金在内的有关隐藏的标记，这些商品被添加到外币兑换交易中。该公司将支付3.824亿美元，其中包括1.67亿美元的罚款和委员会债务，向美国司法部罚款1.55亿美元，至少向ERISA计划客户罚款。

Among the other services it provides, State Street facilitates indirect foreign currency exchange trading for clients so that they can sell and purchase foreign currencies in transactions involving foreign securities. An SEC probe found that State Street made a substantial chunk of money in revenue when it misled some clients about Indirect FX, claimed that it offered the most competitive rates on trades, charged “market rates,” and provided “best execution.” The Commission contends that the company did not try to get the best prices for clients.

SEC认为，州街隐藏了标记，因此监护客户不会注意到。它还发现，注册投资公司的监护客户每月进行一次交易报告和贸易确认，这些报告对外币兑换交易定价的陈述错误而产生了重大误导。

The SEC’s order instituting settled administrative proceedings will only be issued after a federal court approves the firm’s proposed settlements in securities class actions lawsuits that were brought about the way it allegedly priced foreign currency exchange transactions. The company has put aside $147.6M to settle these private cases.

作为SEC解决方案的一部分，Street Street将承认监管机构命令中的具体发现。该委员会表示，该公司违反了1940年《投资公司法》和第31a-1（b）条的某些部分。

我们的对冲基金欺诈律师代表因他人的疏忽或不当行为而导致损失损失的投资者。接触SSEK Partners Group今天。

1940年的投资公司法(PDF)