Defendant Name:
ICE Data Pricing & Reference Data, LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
2020-310
Document Details
Legal Case Name
In the Matter of ICE Data Pricing & Reference Data, LLC
Document Name
Global Securities Pricing Service to Pay $8 Million for Compliance Failures
Document Date
09-Dec-2020
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Document Summary
The SEC stated that: "[It] charged ICE Data Pricing &Reference Data LLC, a global securities pricing service and New York-based registered investment adviser, for compliance deficiencies relating to its delivery to clients of prices based on quotes it received from a single market participant, also known as single broker quotes. ICE Data PRD has agreed to pay $8 million to settle the charges."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Monetary Penalties:
Civil Penalty
Individual:
$8,000,000.00
Shared: