sec whistleblower attorneys
September 04, 2019
The Options Clearing Corporation
Trading and Pricing
SANCTION AMOUNT: $15000000
Defendants: The Options Clearing Corporation
Respondent, the U.S.’s sole registered clearing agency for exchange-listed option contracts on equities, agreed to settle charges that it failed to establish and enforce policies and procedures involving financial risk management, operational requirements and information-systems security, and changed policies on core risk management issues without obtaining required SEC approval.
- Key Docs
- Official SEC press release
