Broker-dealer OTC Link LLC has agreed to pay $575,000 to settle allegations that it repeatedly failed to create and enforce compliance policies and procedures for one of its trading platforms, which handles over-the-counter (OTC) stocks, the US Securities and Exchange Commission (SEC) announced.

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Adrianne Appel writes regulatory news, policy, and trends for Compliance Week. She previously reported about policy developments for Bloomberg Law and Bloomberg Government. Email: adrianne.appel@complianceweek.com LinkedIn:...