Defendant Name:
Citigroup Global Markets Inc.
Defendant Type:
Subsidiary of Public Company
Document Reference:
2015-171
Document Details
Legal Case Name
In the Matter of Citigroup Global Markets, Inc.
Document Name
SEC Charges Citigroup Global Markets for Compliance and Surveillance Failures
Document Date
19-Aug-2015
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
On August 19, 2015, the SEC announced that: "Citigroup Global Markets has agreed to settle charges that it failed to enforce policies and procedures to prevent and detect securities transactions that could involve the misuse of material, non-public information. The firm also failed to adopt and implement policies and procedures to prevent and detect principal transactions conducted by an affiliate."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Compliance Related Independent Consultant