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    EcoR1 Capital 2025 AMF Fine - €10 million
    Enforcement

    EcoR1 Capital Fine - €10M - Marking the Close – AMF - Dec 2024

    SteelEye    |    13 December 2024

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    Eric Cobb/SeaCrest 2024 SEC Fine - $375,000
    Enforcement

    Eric Cobb/SeaCrest Fine - $375k - Cherry Picking – SEC - DEC 2024

    SteelEye    |    12 December 2024

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    Netflix Fine - €4.7m - GDPR - AP (Dutch DPA) - Nov-24
    Enforcement

    Netflix Fine - €4.7m - GDPR - AP (Dutch DPA) - Nov-24

    SteelEye    |    26 November 2024

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    Ken Leech 2024 SEC Cherry Picking Charge
    Enforcement

    Ken Leech Charge - Unfair Allocations (Cherry-Picking) - SEC - Nov 2024

    SteelEye    |    25 November 2024

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    SteelEye - Beyond Market Surveillance: Insights from Regs & Eggs New York 2024
    Blog

    Beyond Market Surveillance: Insights from Regs & Eggs New York 2024

    SteelEye    |    19 November 2024

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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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    Desjardins Securities CIRO Fine: $225,000 penalty for supervision failures
    Enforcement

    Desjardins Securities Fine - $225k - Inadequate Supervision - CIRO - Nov-24

    SteelEye    |    05 November 2024

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    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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