Maplelane Capital, Llc

Allegations: THE SEC ALLEGED THAT FROM NOVEMBER 2016 TO JUNE 2021, SEC-REGISTERED INVESTMENT ADVISER MAPLELANE CAUSED VIOLATIONS OF RULES 200(G) AND 203(B) OF REGULATION SHO BY INCORRECTLY IDENTIFYING SHORT SALE ORDERS TO ITS EXECUTING BROKERS AS LONG SALE ORDERS. SCIENTER IS NOT REQUIRED TO SHOW A VIOLATION OF EITHER OF THESE RULES. THE SEC FURTHER ALLEGED THAT MAPLELANE ALSO COMMITTED BOOKS AND RECORDS VIOLATIONS UNDER SECTION 204 OF THE ADVISERS ACT AND RULES 204-2(A)(3) AND 204-2(A)(7)(III). FINALLY, THE SEC ALLEGED THAT MAPLELANE VIOLATED ADVISERS ACT SECTION 206(4) AND RULE 206-4(7) THEREUNDER BY FAILING TO IMPLEMENT WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATIONS OF THE ADVISERS ACT AND ITS RULES. Status: Final Sanction Detail: $250,000 CIVIL MONEY PENALTY, $554,721 DISGORGEMENT, $19,320 PREJUDGMENT INTEREST. Summary: FOR RESOLUTION THE ADVISER SUBMITTED AN OFFER OF SETTLEMENT WHICH THE COMMISSION ACCEPTED. SOLELY FOR THE PURPOSES OF THIS PROCEEDING, AND WITHOUT ADMITTING OR DENYING THE FINDINGS, THE ADVISER CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING CEASE AND DESIST PROCEEDINGS AND AGREED TO A CIVIL PENALTY, DISGORGEMENT, AND PRE-JUDGMENT INTEREST.