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    SteelEye

    SteelEye

    About SteelEye

    SteelEye is a RegTech and data analytics firm that was established to reduce the complexity and cost of financial compliance and enable firms globally to manage their regulatory obligations through a single platform. SteelEye’s ability to capture, cleanse, index and analyse structured and unstructured data across all asset classes and communication types enables clients to effortlessly meet their regulatory needs. And with everything under one lens, firms also gain fresh insight into their business, helping them improve their efficiency and profitability.

    Royal Mutual Funds 2024 CIRO Fine
    Enforcement

    Royal Mutual Funds Fine - $135k - Inadequate Supervision - CIRO - Oct-24

    SteelEye    |    31 October 2024

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    RBC Dominion Securities: $1M penalty for violating CIRO rules
    Enforcement

    RBC Dominion Securities Fine - $1m - Off Market Trades - CIRO - Oct-24

    SteelEye    |    28 October 2024

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    WisdomTree Asset Management SEC Fine - $4M - ESG Fund Misstatements
    Enforcement

    WisdomTree Fine - $4M - ESG Fund Misstatements - SEC - Oct 24

    SteelEye    |    15 October 2024

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    Citadel Securities 2024 FINRA Fine - $ 1 million
    Enforcement

    Citadel Securities Fine - $1M - Trade Reporting – FINRA - Oct 2024

    SteelEye    |    09 October 2024

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    Merrill Lynch 2024 FINRA Fine $2m
    Enforcement

    Merrill Lynch Fine - $2m - Trade Reporting Errors - FINRA - Sep 2024

    SteelEye    |    30 September 2024

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    Macquarie Bank Fine - $4.995M - Marking the Close - ASIC - September 2024
    Enforcement

    Macquarie Bank Fine - $4.995M - Marking the Close - ASIC - Sep 24

    SteelEye    |    24 September 2024

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    Independent Financial Group 2024 - FINRA Fine - $500k
    Enforcement

    Independent Financial Group Fine - $500k - FINRA - Churning - Sep 2024

    SteelEye    |    23 September 2024

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    Regulatory Watch: UK Banks Face Scrutiny Over WhatsApp, Signaling FCA Off-Channel Comms Crackdown
    Regulatory Watch

    UK Banks Face Scrutiny Over WhatsApp, Signaling FCA Off-Channel Comms Crackdown

    SteelEye    |    23 September 2024

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    Expansion of SteelEye’s Compliance CoPilot tool slashes alert review time by 90%
    Press Release

    Expansion of SteelEye’s Compliance CoPilot tool slashes alert review time by 90%

    SteelEye    |    19 September 2024

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    SEC Fines 12 Firms Over $1.3M for Recordkeeping Failures
    Regulatory Watch

    SEC Fines 12 Firms Over $1.3M for Recordkeeping Failures

    SteelEye    |    18 September 2024

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