ZouZa Solutions Limited

30/04/2024

30/04/2024

Online brokerage services provider TD Ameritrade agreed to pay a $600,000 fine for violations of Financial Industry Regulatory Authority rules over its automated approval system that allegedly allowed inexperienced traders to engage in options trading.

31/10/2023

Agency agrees to dismiss allegations against Ripple Labs executives after earlier losing part of its case against the company

12/10/2023

D.E. Shaw agreed to pay $10 million to settle allegations the hedge fund’s employment agreements and separation releases with employees contained language preventing whistleblowers from coming forward.

02/10/2023

https://compliance-risk.com/sec-recordkeeping-enforcement-continues-to-result-in-large-penalties-for-off-channel-communications/

The list of firms that have been charged in less than 12 months with recordkeeping failures for off-channel electronic communications continues to grow.

24/08/2023

https://www.forbes.com/sites/antoniopequenoiv/2023/08/10/bittrex-crypto-platform-reaches-24-million-sec-settlement-over-non-compliance-charges/?sh=3933bd8129ba

Bittrex and its former CEO were charged in April for sidestepping securities registration requirements.

22/08/2023

https://www.complianceweek.com/.../instinet.../33441.article

For the well-informed Chief Compliance Officer and audit executive: Industry news, resources, webcasts, and more. Get the latest in corporate governance, risk, and compliance from Compliance Week.

22/08/2023

https://www.complianceweek.com/regulatory-enforcement/instinet-fined-38m-by-finra-over-deficient-cat-reports/33441.article

Instinet, a brokerage firm subsidiary of Nomura Group, agreed to pay $3.8 million as part of a settlement with the Financial Industry Regulatory Authority regarding "tens of billions" of inaccurate or late reports filed to the consolidated audit trail central repository.