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    Macquarie Bank London Fine - £13m - Inadequate Trading Controls - FCA
    Enforcement

    Macquarie Bank London Fine - £13m - Fictitious Trades - FCA - Nov 24

    SteelEye    |    18 November 2024

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    SteelEye's Key Takeaways from XLoD Global – London 2025: Navigating Non-Financial Risk, Control, and Compliance in a Complex Landscape
    Blog

    SteelEye's Key Takeaways from XLoD Global – London 2024: Navigating Non-Financial Risk, Control, and Compliance in a Complex Landscape

    SteelEye    |    15 November 2024

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    Metro Bank Fine - £16.7m - Inadequate Transaction Monitoring - FCA
    Enforcement

    Metro Bank Fine - £16.7m - Inadequate Transaction Monitoring - FCA - Nov 24

    SteelEye    |    12 November 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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    Advancing Voice Surveillance: A Call to Action for Financial Institutions
    Blog

    Advancing Voice Surveillance: A Call to Action for Financial Institutions

    Matt Storey    |    17 September 2024

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    SteelEye Named Best RegTech Firm at HFM US Services Awards
    News

    SteelEye Named Best RegTech Firm at HFM US Services Awards

    SteelEye    |    13 September 2024

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    SteelEye's Commitment to Supporting Clients with DORA Compliance
    News

    SteelEye's Commitment to Supporting Clients with DORA Compliance

    SteelEye    |    13 September 2024

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    CLSA Australia Fine - $144k - ASIC - Regulatory Reporting Errors - Aug 2024
    Enforcement

    CLSA Australia Fine - $144k - ASIC - Trade Reporting Errors - Aug 2024

    SteelEye    |    29 August 2024

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