/regulation & compliance

News and resources on regulation, compliance, legal and governance issues for banks and fintechs.

Robinhood faces hefty SEC fine for high-speed trade deals

Stock trading app Robinhood is being investigated by the Securities and Exchange Commission for failing to disclose that it sold clients' orders to high speed trading firms, according to the Wall Street Journal.

  2 1 comment

Robinhood faces hefty SEC fine for high-speed trade deals

Editorial

This content has been selected, created and edited by the Finextra editorial team based upon its relevance and interest to our community.

Robinhood did not disclose, until 2018, that it received payments from high-speed trading firms for sending them client orders to buy or sell stocks and options, says the WSJ.

The fintech giant could face a fine of more than $10 million if it agrees to settle the investigation, which is at an advanced stage, says the Journal, citing sources. However, a fine has not yet been negotiated.

While payment for order flow is common for retail brokerages, critics say it creates a conflict of interest. Robinhood only began disclosing the practice on its site in 2018.

A darling of the fintech scene, Robinhood hit an $11.2 billion valuation last month on its latest funding round.

The firm has added millions of funded accounts just this year and in recent weeks it has seen record revenue growth, with investors keen to take advantage of market volatility during the Covid-19 pandemic.

Sponsored [Webinar] Unifying Card Programmes: The cost-reduction imperative

Comments: (1)

Ketharaman Swaminathan

Ketharaman Swaminathan Founder and CEO at GTM360 Marketing Solutions

I know I shouldn't conflate stock with flow but $10M fine can't be too "hefty" for a $11.2B valuation company:) 

For some reason, I'm reminded of the closing line of the FORTUNE magazine article on Archer Daniels Midland lysine price fixing scandal in the mid 1990s: 

"Not only does crime pay, it’s just the cost of doing business."

It was "foodtech" then, it's fintech now!

[Webinar] Unifying Card Programmes: The cost-reduction imperativeFinextra Promoted[Webinar] Unifying Card Programmes: The cost-reduction imperative