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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

Goldman Sachs fine

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Goldman Sachs gets a slap on the wrist for data entry errors

Maria Nikolova CME, CME disciplinary action, Goldman Sachs, Goldman Sachs fine 0 Comments May 25, 2021

CME Group issues Goldman Sachs with a fine for violations of data entry requirements for sequenced cards, verbal orders, and floor orders.

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FINRA News/ Regulatory News

FINRA fines Goldman Sachs $1.25M for failing to fingerprint associated individuals

Maria Nikolova fingerprinting, Goldman Sachs, Goldman Sachs fine 0 Comments January 25, 2021

Between January 2015 to January 2018, Goldman Sachs failed to timely fingerprint at least 1,061 non-registered associated individuals.

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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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