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The Securities and Futures Commission (SFC) has fined CSC Futures (HK) Ltd HK$4.95 million for regulatory breaches involving the 'Xinguanjia' Customer-Supplied System, produced by Hengxin Software Ltd. (Source date: 9-Oct-2024). Additionally, FINRA has charged Citadel Securities for failing to report tens of billions of equity and option order events to the Consolidated Audit Trail (CAT). Citadel Securities is required to pay a $1 million fine for these alleged rule violations.
TENS OF BILLIONS OF TRADES. let me guess, SEC gonna give them a slap on the wrist?! https://t.co/8lMQUA0apf
Oh wow 😮 Disclaimer; I am not shocked about billions of Citadel reporting fails, I am shocked the SEC t charging them for the violations https://t.co/t755I0gc4z
JUST IN: FINRA charges Citadel Securities for failing to report tens of billions of equity and option order events to the Consolidated Audit Trail (CAT). Citadel Securities to pay $1 MILLION fine for alleged FINRA rule violations. https://t.co/AbyFK02qBg
