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United States SEC Fines 26 Brokers-Dealers & Investment Advisors $392 Million for Using Unapproved Communication Methods Such as Whatsapp Resulting in Failure to Maintain Communications Records, 26 Firms Fined Include BNY Mellon Securities, RBC Capital Markets, TD Securities, Apex & Haitong International
15th August | Hong Kong
The United States Securities & Exchange Commission (SEC) has fined 26 brokers-dealers & investment advisors $392.75 million for using unapproved communication methods such as whatsapp, resulting in failure to maintain communications records. The 26 firms fined include BNY Mellon Securities, RBC Capital Markets, TD Securities, Apex & Haitong International. Separately, the Commodity Futures Trading Commission announced settlements with The Toronto Dominion Bank, Cowen and Company, and Truist Bank for related conduct. United States SEC: “The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications. The firms admitted the facts set forth in their respective SEC orders, acknowledged that their conduct violated recordkeeping provisions of the federal securities laws, agreed to pay combined civil penalties of $392.75 million, as outlined below, and have begun implementing improvements to their compliance policies and procedures to address these violations.”
“ United States SEC Fines 26 Brokers-Dealers & Investment Advisors $392 Million for Using Unapproved Communication Methods Such as Whatsapp Resulting in Failure to Maintain Communications Records, 26 Firms Fined Include BNY Mellon Securities, RBC Capital Markets, TD Securities, Apex & Haitong International “
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United States SEC Fines 26 Brokers-Dealers & Investment Advisors $392 Million for Using Unapproved Communication Methods Such as Whatsapp Resulting in Failure to Maintain Communications Records, 26 Firms Fined Include BNY Mellon Securities, RBC Capital Markets, TD Securities, Apex & Haitong International
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