美国证交会指控Robinhood证券违规罚款4500万美元

港股那点事

01-14

格隆汇1月14日｜美国证券交易委员会(SEC)周一表示，与Robinhood相关的两家经纪交易商同意支付4500万美元的综合罚款，以和解因违反与其经纪业务相关的10多项单独证券法规定而受到的行政指控。Robinhood Securities LLC和Robinhood Financial LLC的违规行为涉及未能及时报告可疑交易、未能实施充分的身份盗窃保护以及未能充分解决对Robinhood计算机系统的未经授权的访问问题。

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