SECは、OTC Link LLCに対して遵守の不備を理由に制裁を行いました。
米国証券取引委員会（SEC）は、OTC Link LLCに対して規則SCIの繰り返し違反に対して詰責し、575,000ドルの罰金を科しました。これは規制の厳格な執行と業界全体における遵守に関する懸念を示しています。
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- SSEC Press Releases規制当局2026-09-23 00:41
The Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and Integrity (SCI).
- SSEC Press Releases規制当局2026-09-23 00:41
According to the SEC’s settled order, between August 2016 and March 2025, OTC Link LLC failed to establish, maintain, and enforce certain written policies and procedures required by Regulation SCI for OTC Link ATS—an alternative trading system for over-the-counter securities that it operates—including policies and procedures pertaining to system security, access control, and application vulnerabi…