高盛因交易数据漏报被罚145万美元

环球市场播报2025-05-14

美国金融业监管局（FINRA）周二发布和解令，对高盛集团处以145万美元民事罚款，因该投行未能准确上报数十亿笔股票交易数据。　　监管机构指出，高盛的系统编码错误导致向“综合审计追踪系统（CAT Central Repository）”误报了366亿笔交易记录，该系统用于协助监管市场活动。　　FINRA还披露，2021年10月至11月期间，高盛因技术故障错误处理了9080万份订单备忘录，误报...

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