Robinhood(HOOD)就多项违规行为同意支付4500万美元以达成和解_老虎社区_美港股上老虎

Robinhood(HOOD)就多项违规行为同意支付4500万美元以达成和解

金吾财讯01-14

金吾财讯 | 美国证券交易委员会(SEC)表示，Robinhood(HOOD)的两家子公司Robinhood证券及Robinhood金融同意支付4500万美元(约3.51亿港元)罚款，以达成和解，因其违反与经纪业务相关逾10项证券法规定而受到行政指控。

SEC代理执法主管Sanjay Wadhwa在一份声明中表示：“两家罗宾汉公司未能遵守一系列重要的监管要求，包括未能准确报告交易活动、遵守卖空规则、及时提交可疑活动报告、维护账簿和记录，以及保护客户信息。”

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