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TD Securities Fined for Spoofing Scheme and Compliance Failures

TD Securities faces $15M in fines for spoofing and failure to supervise its U.S. Treasuries trading desk, underscoring the need for robust c

Oct 7, 20243 min read

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Belite Capital is a minority-owned financial regulatory and compliance consulting firm based in New York and New Jersey. We're dedicated to providing financial services and solutions with watchful and responsible care for investment industry participants. Learn how we're redefining success through diversity, innovation, and a steadfast commitment to helping clients navigate complex regulations.

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