Nettet7. des. 2024 · The recent $200 Million imposed on JPMorgan by CFTC and SEC for allowing employees to use WhatsApp without complying with the required regulations, an earlier SEC fine of a Broker-Dealer solely for not archiving mobile text messages, and CFTC’s fine of UBS covered below, as well as many FINRA fines related to text …

Banks to pay $1bn over traders

Nettet17. des. 2024 · The CFTC order finds that since at least July 2015, JPMorgan employees, including those at senior levels, communicated both internally and externally on unapproved channels, including via personal text messages and WhatsApp messages. Nettet2. sep. 2024 · JPMorgan in December agreed to pay a $200mn penalty to resolve the matter, ... In July, Deutsche took a €165mn provision for “regulatory enforcement” related to SEC and CFTC WhatsApp probes. dallas cowboys owner history

Opsician - JPMorgan Chase will pay $125M to the SEC and

Nettet17. des. 2024 · The Securities and Exchange Commission today announced charges against J.P. Morgan Securities LLC (JPMS), a broker-dealer subsidiary of JPMorgan … Nettet27. sep. 2024 · JPMorgan Chase & Co and Whatsapp logos are seen in this illustration taken, August 22, ... (CFTC) could extract total fines of around $2 billion, according to disclosures from U.S. banks. Nettet2 dager siden · Hedge funds have built their biggest collective short position against the stock market since 2011, according to recent data from the Commodities Futures Trading Commission. There is a net short ... bircher herefordshire