Tag: Nomura & Jefferies
United States SEC Fines HSBC $15 Million & Scotia Capital $7.5...
United States SEC Fines HSBC $15 Million & Scotia Capital $7.5 Million for Whatsapp Usage, Top Financial Institutions Fined $1.8 Billion in September 2022
12th...
United States SEC Probes Top Hedge Funds Messaging & Whatsapp Records,...
United States SEC Probes Top Hedge Funds Messaging & Whatsapp Records, Started Probe on Top Private Equity Firms in November 2022 with Financial Institutions...
Morgan Stanley Self-Fines Bankers Thousands to More than $1 Million for...
Morgan Stanley Self-Fines Bankers Thousands to More than $1 Million for Conducting Business on Whatsapp Despite Prior Warnings, Fined $200 Million in 2022 September...
United States Commodity Futures Trading Commission Fines 11 Firms $710 Million...
United States Commodity Futures Trading Commission Fines 11 Firms $710 Million for Using Text Messaging & Non-Authorised Channels with No Record Keeping, Citi, UBS,...
United States SEC Fines 11 Firms $1.1 Billion for Using Text...
United States SEC Fines 11 Firms $1.1 Billion for Using Text Messaging & Non-Authorised Channels with No Record Keeping, Citi, UBS, Credit Suisse, Goldman...
