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ICE Unit Settles Charges of Failed Pricing Compliance

December 11, 2020 by Eugene Grygo

ICE Unit Settles Charges of Failed Pricing Compliance

A securities pricing subsidiary of the Intercontinental Exchange (ICE) has settled with the SEC over charges that it should have done a better job of vetting certain prices that were based on data from single broker market participants. The wholly-owned subsidiary, ICE Data Pricing and Reference Data (PRD), which is also a registered investment adviser,… Read More >>

Filed Under: Securities Operations, Buy-Side, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Risk Management, Governance, Back-Office, Integration, Standards, Performance Measurement, KYC, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: compliance, data management, ICE, ICE Data PRD, ICE Data Services, IntercontinentalExchange, OTC derivatives, Pricing, reference data, SEC, SEC enforcement, SEC Office of Analytics and Research, Securities Operations

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