Former associated person suspended and fined for alleged unauthorized discretionary trading in customer accounts
Flow Traders censured and fined for alleged financial risk management failures
The firm did not put in place reasonably designed pre-set capital thresholds and supervisory procedures. The pre-set capital thresholds were set too high and did
Free Trial
Register for free to keep reading.
To continue reading this article and unlock full access to GRIP, register now. You’ll enjoy free access to all content until our subscription service launches in early 2026.
- Unlimited access to industry insights
- Stay on top of key rules and regulatory changes with our Rules Navigator
- Ad-free experience with no distractions
- Regular podcasts from trusted external experts
- Fresh compliance and regulatory content every day
