Latest News
- Disaster and Business Continuity
- Derivatives Operations +
-
Securities Operations
+
- Affirmation, Allocation & Confirmation
- Back Office
- Buy-Side
- Case Studies
- Clearing
- Corporate Actions
- Data Management
- FX Operations
- Hedge Fund Operations
- Industry News
- Mergers & Acquisitions
- Middle-Office
- Operational Risk
- Ops Automation
- Outsourcing
- Private Markets
- Reconciliation & Exceptions
- Risk Management
- Sell-Side
- Settlement
- T+1 Settlement
- Diversity & Human Interest +
- FinTech Trends +
- Opinion +
- Performance Measurement +
- Regulation & Compliance +
- Industry News +
- FTF Media & Content Channels +
- FTF Bull Run Blog
The CBOE and the Chicago-based firm have reached an agreement after an investigation uncovered alleged violations of the Zero Bid Rule.
Akuna Securities and CBOE Global Markets officials have settled charges of trading violations via a letter of consent, dated Jan. 31, 2019, that includes a fine of $1.28 million, officials have confirmed. CBOE officials allege that the Chicago-based firm, acting as a broker-dealer, submitted strategy orders on three dates from November 2016 to November 2017...
Already a subscriber? Login here
