Dark Pool and ATS Fines: Regulatory Overkill?

Overview

This report examines the fines levied against operators of alternative trading systems (ATSs) and dark pools for the trading of US equities. The level of fines has risen dramatically over the course of the past few years, with more fines likely to come.

Target Audience

The report is targeted at readers interested in understanding the nature of the fines levied against ATSs and how firms should position themselves to avoid, or at least minimise the risk of fines in the future.

Firms Mentioned in Report

UBS, Credit Suisse, ITG, and Barclays

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