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    Citadel Securities 2024 FINRA Fine - $ 1 million
    Enforcement Actions

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

    SteelEye    |    09 October 2024

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    Merrill Lynch 2024 FINRA Fine $2m
    Enforcement Actions

    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 Actions

    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 Actions

    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 Actions

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

    SteelEye    |    29 August 2024

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    Swiss Energy Trader Fined $48 Million for Attempted Market Manipulation
    Regulatory Watch

    Swiss Energy Trader Fined $48 Million for Attempted Market Manipulation

    SteelEye    |    28 August 2024

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    SteelEye tackles growing cross-product manipulation threat with latest innovation
    Press Release

    SteelEye tackles growing cross-product manipulation threat with latest innovation

    SteelEye    |    20 August 2024

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    New SEC & CFTC’s Enforcement Actions Reaffirm Tough Stance on Off-Channel Communications
    Regulatory Watch

    SEC & CFTC’s Recent Enforcement Actions Reaffirm Tough Stance on Off-Channel Communications

    SteelEye    |    15 August 2024

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    One Year Since Wall Street's $549 Million Record-Keeping Fine: Off-Channel Comms Overview and Progress
    Blog

    Anniversary of Wall Street's $549 Million Record Keeping Fine: Off-Channel Compliance Overview and Progress

    SteelEye    |    08 August 2024

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