FINRA Fines Goldman Sachs $1.8 Million For OATS Reporting Violations – ValueWalk Premium
Goldman Sachs

FINRA Fines Goldman Sachs $1.8 Million For OATS Reporting Violations

Goldman Sachs has been fined $1.8 million by the Financial Industry Regulatory Authority for alleged reporting violations spanning over 8 years.

The U.S. regulator said Monday the investment bank didn’t have adequate controls in place to prevent the violations.


Goldman Sachs failed to transmit order-related events
FINRA fined Goldman Sachs Execution & Clearing, L.P. $1.8 million for systemic Order Audit Trail System (OATS . . .

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