{"id":26740,"date":"2026-09-23T10:30:00","date_gmt":"2026-09-23T10:30:00","guid":{"rendered":"https:\/\/generationimpact.global\/notizie\/sec-censures-otc-link-llc-regulation-sci-compliance-failures\/"},"modified":"2026-11-01T14:14:14","modified_gmt":"2026-11-01T14:14:14","slug":"sec-censura-otc-link-llc-violazioni-regulation-sci","status":"publish","type":"post","link":"https:\/\/generationimpact.global\/it\/news\/sec-censura-otc-link-llc-violazioni-regulation-sci\/","title":{"rendered":"La SEC censura OTC Link LLC e le infligge una sanzione di 575.000 dollari per violazioni della Regulation SCI"},"content":{"rendered":"\n<p>La Securities and Exchange Commission (SEC) statunitense ha emesso un provvedimento di censura nei confronti del broker-dealer newyorkese OTC Link LLC e gli ha ordinato di pagare una sanzione civile di 575.000 dollari per il persistente mancato rispetto degli standard di conformit\u00e0 e integrit\u00e0 dei sistemi.<\/p>\n<h2 class=\"wp-block-heading\"><strong>Il provvedimento sanzionatorio in sintesi<\/strong><\/h2>\n<p>La SEC ha censurato il broker-dealer OTC Link LLC e gli ha inflitto una sanzione civile di 575.000 dollari per violazioni protratte nel tempo della Regulation Systems Compliance and Integrity (SCI). OTC Link LLC gestisce OTC Link ATS, un sistema di negoziazione alternativo per titoli scambiati over-the-counter.<\/p>\n<h2 class=\"wp-block-heading\"><strong>Carenze sistemiche ed esiti delle ispezioni<\/strong><\/h2>\n<p>Tra agosto 2016 e marzo 2025 OTC Link LLC non ha adottato, mantenuto e applicato le politiche e procedure scritte richieste dalla Regulation SCI. Le procedure mancanti o rimaste in bozza riguardavano direttamente la sicurezza dei sistemi, il controllo degli accessi e la gestione, il test e la correzione delle vulnerabilit\u00e0 applicative.<\/p>\n<p>Nel periodo il personale della Division of Examinations della SEC ha ispezionato pi\u00f9 volte OTC Link ATS. In ogni occasione gli ispettori hanno segnalato politiche e procedure obbligatorie non ancora finalizzate o non applicate. La SEC ha stabilito che OTC Link LLC non ha ripetutamente affrontato e corretto tali carenze in modo tempestivo.<\/p>\n<h2 class=\"wp-block-heading\"><strong>Norme violate e termini dell&#8217;accordo<\/strong><\/h2>\n<p>Secondo l&#8217;ordinanza, OTC Link LLC non disponeva di politiche e procedure scritte ragionevolmente idonee a garantire le proprie capacit\u00e0 operative e a sostenere mercati equi e ordinati, in violazione della Rule 1001(a)(1) della Regulation SCI. La societ\u00e0 ha inoltre violato le Rule 1001(a)(2) e 1001(a)(3), non avendo mantenuto le politiche minime richieste, svolto revisioni periodiche e posto rimedio alle carenze individuate.<\/p>\n<p>Senza ammettere n\u00e9 negare quanto accertato, OTC Link LLC ha accettato una censura, un ordine di cessazione (cease-and-desist) e una sanzione civile di 575.000 dollari.<\/p>\n<h2 class=\"wp-block-heading\"><strong>Fonti<\/strong><\/h2><ul class=\"wp-block-list ul-fix fs-16 m-fs-14\">\n<li><a href=\"https:\/\/www.sec.gov\/newsroom\/press-releases\/2026-91-sec-censures-otc-link-llc-repeated-compliance-failures-related-regulation-sci\" target=\"_blank\" rel=\"nofollow noreferrer noopener\">SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI<\/a><\/li>\n<\/ul>\n<h2 class=\"wp-block-heading\"><strong>Materiali di riferimento principali<\/strong><\/h2><ul class=\"wp-block-list ul-fix fs-16 m-fs-14\">\n<li><a href=\"https:\/\/generationimpact.global\/wp-content\/uploads\/34-106458.pdf\">Ordinanza della SEC<\/a><\/li>\n<li><a href=\"https:\/\/generationimpact.global\/wp-content\/uploads\/ocoo01-excess-pers-prop-guidance.pdf\">SEC Excess Personal Property Guidance<\/a><\/li>\n<\/ul>\n","protected":false},"excerpt":{"rendered":"<p>La Securities and Exchange Commission (SEC) statunitense ha emesso un provvedimento di censura nei confronti del broker-dealer newyorkese OTC Link LLC e gli ha ordinato di pagare una sanzione civile di 575.000 dollari per il persistente mancato rispetto degli standard di conformit\u00e0 e integrit\u00e0 dei sistemi. Il provvedimento sanzionatorio in sintesi La SEC ha censurato [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":26742,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":"","css_class_manager_body_classes":"","css_class_manager_use_in_post_loop":false},"categories":[1831],"tags":[2147,1889,2148,2149,1860],"class_list":["post-26740","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-notizie","tag-broker-dealer","tag-financial-regulation","tag-otc-link","tag-regulation-sci","tag-sec"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v28.8 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>SEC censura OTC Link LLC per violazioni della Regulation SCI | Generation Impact Global<\/title>\n<meta name=\"description\" content=\"La SEC censura il broker-dealer OTC Link LLC e gli infligge una sanzione di 575.000 dollari per carenze di 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