智通财经APP获悉，美国证券交易委员会(SEC)周一表示，“网红券商”Robinhood Markets(HOOD.US)已同意支付4500万美元，以了结SEC对其记录保存、交易报告和其他违规行为的指控。
监管机构发现Robinhood Securities LLC和Robinhood Financial LLC违反了许多要求，比如准确报告交易活动、及时提交可疑活动报告、维护记录并遵守卖空规则。
Robinhood也成为最新一家承认违反规定的经纪自营商之一，因为员工使用即时通讯应用程序和其他“渠道外”通信平台来保留与工作有关的通信。
该公司承认了这些失误以及有缺陷的交易数据。监管机构发现，Robinhood也未能充分应对网络安全风险。Robinhood法律总顾问Lucas Moskowitz表示，该公司很高兴解决了这些问题。
Moskowitz在一份声明中表示：“我们有能力继续引领行业，开发客户想要和需要的创新产品和服务。我们期待在新一届美国政府的领导下与SEC合作。”
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