FINRA Slaps $3.25M Fine On Deutsche Bank Securities for ATS Violations

Moderator: moderators

kreslik.news
rank: 10000+ posts
rank: 10000+ posts
Posts: 37309
Joined: Thu Jan 14, 2016 9:36 am
Reputation: 2
Gender: None specified

FINRA Slaps $3.25M Fine On Deutsche Bank Securities for ATS Violations

Postby kreslik.news » Thu Dec 15, 2016 4:45 pm


The Financial Industry Regulatory Authority (FINRA), the largest independent regulatory authority in the US, has slapped a $3.25 million fine against Deutsche Bank Securities Inc., after the group failed to give uniform information to clients of its Alternative Trading System (ATS), per a FINRA filing.

To unlock the Asian market, register now to the iFX EXPO in Hong Kong.

An ATS constitutes a trading venue that executes securities trades on behalf of broker-dealers. However, it is in accordance with the Securities and Exchange Commission (SEC) Regulation that ATS operators provide, “identical access to all services and features”. For its part, ... (read more)

Please add www.kreslik.com to your ad blocker white list.
Thank you for your support.

Return to “news”