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Robinhood BDs dinged for violating more than 10 securities law provisions
Alleged violations include blue sheet filing, identity theft, and suspicious activity reporting, including a 2021 data breach that exposed customers’ data.
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SEC still live and kicking as 12 firms fined combined $63m+ in recordkeeping failure charges
Each firm used unapproved communication methods, or off-channel communications, to send and receive messages that were required to be maintained under the securities laws, the SEC said.
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FINRA disciplinary action update 2025/1
Disciplinary decisions issued January 1 – 10, 2025.
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BMO Capital Markets in $40.6m settlement with SEC over bond sale supervision
SEC says BMO failed to properly supervise employees who sold certain bonds, but notes it has remediated lexicons, policies and training in this area.
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SEC fines ATS operator over Market Access Rule, Reg ATS violations
The action marks the second time Liquidnet has been fined for weak customer information protections.
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AI in healthcare, children’s data, and right to erasure among Danish DPA’s priorities for 2025
One of the Danish Data Protection Authority’s new priorities is to supervise how AI is being handled in the healthcare sector.
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FIN-FSA announces supervisory priorities for 2025
The Finnish authority will keep some of its supervisory priorities from 2024, and aims to release key findings from inspections.
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Bayview settles with 53 state regulators for $20m over cyberattack
The $20m penalty and corrective plan ordered here underscore the importance of protecting consumer data and promptly complying with agency demands.