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SEC imposes total of $79M in penalties on 10 firms for recordkeeping failures

Interactive Brokers to pay $20M to settle CFTC charges for recordkeeping and supervision failures

SEC imposes $800,000 fine on Maxim Group for Regulation SHO violations

BGC Group reaffirms its outlook for Q3 2023

HK regulator publishes lists of virtual asset trading platforms

Amber Wright

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Executives News

R.J. O’Brien promotes Amber Wright to Global Head of Fixed Income Rates & E-Trading Sales

Maria Nikolova Amber Wright, RJO 0 Comments January 25, 2022

RJO promotes Amber Wright to Executive Director, Global Head of Fixed Income Rates and E-Trading Sales.

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SEC imposes total of $79M in penalties on 10 firms for recordkeeping failures
September 29, 2023
Interactive Brokers to pay $20M to settle CFTC charges for recordkeeping and supervision failures
September 29, 2023
SEC imposes $800,000 fine on Maxim Group for Regulation SHO violations
September 29, 2023
BGC Group reaffirms its outlook for Q3 2023
September 29, 2023
HK regulator publishes lists of virtual asset trading platforms
September 29, 2023

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