美国证券交易委员会（SEC）谴责OTC Link LLC合规失败
美国证券交易委员会（SEC）谴责了OTC Link LLC，并对其处以575,000美元的罚款，因其多次违反《市场数据规则SCI》，表明了更严格的执法力度以及可能引发行业范围内的合规问题。
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- SSEC Press Releases监管机构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监管机构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…