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    SteelEye - SteelEye's Financial Services Fine Tracker 2024
    Press Release

    SteelEye's Financial Services Fine Tracker 2024

    SteelEye    |    15 January 2025

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    John Lowe, Randy Grewal, Richard Ringel, and David Cooper 2025 SEC Fine - 2.5 million
    Enforcement

    John Lowe, Randy Grewal, Richard Ringel, and David Cooper - Fine - SEC - $2.5M - Jan 2025

    SteelEye    |    15 January 2025

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    SteelEye - SEC Kicks off 2025 By Fining 12 Firms for Record Keeping Failures
    Regulatory Watch

    SEC Kicks off 2025 By Fining 12 Firms for Record Keeping Failures

    SteelEye    |    14 January 2025

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    SteelEye and Verint Partner to Revolutionize Voice Compliance in Financial Services
    Press Release

    SteelEye and Verint Partner to Revolutionize Voice Compliance in Financial Services

    SteelEye    |    13 January 2025

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    Robinhood 2025 SEC Fine - $45 Million
    Enforcement

    Robinhood Fine - $45M - SEC - Regulatory Violations - Jan 2025

    SteelEye    |    13 January 2025

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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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