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6 Results from /regulation, "Interactive Brokers"

/regulation

Interactive Brokers to pay $38 million in financial crime charges

The Securities and Exchange Commission today announced that Interactive Brokers LLC will pay an $11.5 million penalty to settle charges it repeatedly failed to file Suspicious Activity Reports (SARs) for U.S. microcap securities trades it executed on behalf of its customers.

/regulation

Hong Kong watchdog fines Interactive Brokers $4.5m over trading systems

The Securities and Futures Commission (SFC) has reprimanded and fined Interactive Brokers Hong Kong Limited (IBHK) $4.5 million after resolving concerns over IBHK’s breaches of the Code of Conduct in its execution of market orders using electronic and algorithmic trading systems (Notes 1 & 2).

/regulation

FCA slaps Interactive brokers with £1m+ fine for post-trade failings

The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in the period February 2014 to February 2015 (‘the Relevant Period’).

/regulation

CFTC hits Interactive Brokers with $225,000 penalty

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order requiring Interactive Brokers LLC (IB) of Greenwich, Conn., to pay a $225,000 civil monetary penalty for failing to calculate the amount of customer funds on deposit, the amount of funds required to be on deposit in customer segregated accounts, failing to maintain sufficient U.S. dollars (USD) in customer segregated accounts in the United States to meet all USD-denominated obligations, and supervision failures.

/regulation

Interactive Brokers adds Australian stocks and Swedish stock options to platform

Interactive Brokers Group (IBKR), a global leader in electronic market-making and brokerage services, recently expanded Interactive Brokers LLC's global direct access platform to include Australian Stocks and Swedish Stock Options.

/regulation

CFTC charges Interactive Brokers for compliance failures

The U.S. Commodity Futures Trading Commission (CFTC) announced today the issuance of an order filing and simultaneously settling charges against Interactive Brokers LLC (IBL), a discount direct access brokerage firm and registered futures commission merchant (FCM) headquartered in Greenwich, Connecticut.

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