current position：Home>US SEC and CFTC fined JPMorgan Chase US $200 million for violating the law due to the chat work of communication software
US SEC and CFTC fined JPMorgan Chase US $200 million for violating the law due to the chat work of communication software
2022-02-04 17:35:15 【TechWeb】
Because of the indulgence of executives and employees to use instant messaging software and private email to discuss work matters , Friday USA SEC And the commodity futures trading commission （CFTC） Separately issued a total for JPMorgan securities 2 A million dollar ticket .
It is worth mentioning that , It is not common for regulators to punish business data custody problems , This time, the two regulators did not give the world's largest banks the opportunity to avoid admitting mistakes and settle directly . JPMorgan Chase will report to SEC payment 1.25 Billion dollars in fines , and CFTC Ticket value 7500 Thousands of dollars . The latest ticket has significantly exceeded SEC stay 2006 A similar illegal act was issued to Morgan Stanley in 1500 Million dollars in tickets .
according to SEC Notice , JPMorgan securities acknowledges that , At least in the 2018 year 1 Month to 2020 year 11 During the month , Employees of the agency often use instant messaging software and personal email on their private devices to discuss securities business issues , And the company did not comply with the federal 《 Securities law 》 Keep these records . The agency also acknowledges that , This violation is very common in the company , Including managing directors and other senior managers with regulatory responsibilities, they often use private devices to discuss business .
And in the CFTC In the investigation report of , It shows that JPMorgan's similar behavior violates 《 Commodity trading law 》 The history of can be traced back to 2015 year .
SEC Deputy director of law enforcement department Sanjay Wadhwa Friday said , J.P. Morgan's violations have hampered SEC Several ongoing investigations , Forcing regulators to take additional steps . This penalty shows the seriousness of the violation , Companies must share the responsibility of investor protection , Instead of causing obstacles .
JPMorgan disclosed in August that it was accepting the relevant “ Data preservation issues ” The investigation of . According to media reports , The actions of the two regulators have also had an impact on employees . JPMorgan Chase had previously instructed its traders 、 Banker 、 Financial advisor , Even some branch employees keep their personal equipment data , For regulatory investigation .
Regulators also said a similar investigation is still under way , More financial institutions may be involved , It is hoped that the relevant companies can report the existing violations by themselves .
author[TechWeb],Please bring the original link to reprint, thank you.
The sidebar is recommended
- Winter Olympic venues grab "fresh" look! Ice ribbon of "beauty and wisdom"
- Whether to "celebrate the new year on the spot"? The latest response from the national health commission!
- Construction of raspberry pie download tool (aria2 and qbittorrent)
- A headline creation Xiaobai taught you to avoid the thunder I stepped on
- Tiktok operation positioning planning, tiktok positioning strategy
- Tiktok tiktok 7 tiktok rules, understand these and do not later.
- Sogou input method released the 2021 national year catchphrase TOP10: "lie flat" topped the list
- Visual image design of the exhibition "village Suo Shenjing: a journey of memory"
- Once side by side with Huawei and later dragged down by LETV, Coolpad has now attracted Xiaomi tiantuan
- This kind of "eating phase" is not allowed to happen again!
guess what you like
Sudden! A bridge rollover on a high-speed ramp in Hubei has killed three people
What should we pay attention to when writing soft text in the process of wechat agent operation?
Good book - children's space visual image design & amp; Graphic Design & amp; Pioneer of visual image design in color matching design
6 easy-to-use drawing software to improve your work efficiency every minute
The people on the elevated station have been unstable, and many lines such as line 16 have been shut down due to the typhoon
Some of the most popular flow chart software in the workplace
On writing: Ten creative methods of dismantling popular titles
The woman involved in the "Ali female employee case" revealed that she was fired by Ali: the company has no right to fire me
OA office system: a container for depositing corporate culture
Brief analysis of headline search - Research on cutting-edge search technology
- Word of mouth marketing of soft text promotion platform (what should we pay attention to when publishing soft text?)
- Baidu Intelligent Cloud new release panorama of knowledge and intelligence capabilities
- We must grasp the last dividend before the tiktok plan.
- Jitter operation strategy, mind map, HD original tiktok
- Can pinduodian group still play now? Hangzhou pinduoduo store is fully managed for agent operation
- Advantages of new media marketing
- Soared 12 times, and cut back in 32 days. 180000 shareholders can sue LETV
- Hard core observation 489 the new chip design of IBM and Samsung can prolong the battery life of mobile phones by one week
- "Comrade Huang Xiaoming, ask you to stop working immediately"!
- She came back to life six hours after her heart stopped beating. How did she do it?
- What on earth are the balls in the hot pot made of? Don't buy these three!
- Delivery of the first electric Hummer Hummer EV Edition 1: 1000 horsepower, starting from about 700000 yuan
- According to the news, the speed of Baidu online disk youth version decreased by 23 times: from 52mb / s to 2Mb / s
- Apple designer knife! Mengniu, established for 22 years, replaced the new logo
- Baidu online disk youth version poster publicity speed changed from 52mb / s to 2Mb / S
- Tencent regulation of the code scan order to focus on official account number
- [see you at 8:00] Langfang: immediately start accountability for the arbitrary collection of fees, fines and apportionment in Bazhou
- Wang Leehom's "human design" collapsed! Many enterprises have issued documents to get rid of the relationship, and more luxury car brands announced the termination of cooperation overnight
- Huawei music and bilibilibili have reached a copyright cooperation to bring more high-quality tracks
- Haval's new flagship SUV "divine beast" was officially launched at a price of 130000 ~ 167000 yuan
- Weilai et5 will be launched in September 2022, with the price starting from RMB 328000 before the delivery of subsidies
- When the holiday comes, Tesla will provide free charging service during off peak hours in many places in the United States
- How was Ren Zhongping refined
- Liang Rubo officially takes over the byte CEO: six business segments, and the top tiktok is joined to the jitter.
- Wang Xiaochuan withdrew from Sogou, and the shareholder is controlled by Tencent
- Brand marketing: from the electric shock mode of falling in love at first sight to the anti fatigue mode of falling in love with each other for a long time
- [Alibaba cloud image] use Alibaba cloud openssh image to install and configure SSH services
- Microblogging remediation user nicknames, avatars vulgar content, the next step will be the second stage of investigation
- "Big stomach king" paid attention to the state's explicit prohibition on the release of programs such as eating and overeating
- China public education was filed for investigation by the CSRC, and the market value evaporated by more than 200 billion yuan during the year
- Got it! Mine owner Du was arrested!
- be vigilant! Multiple cases of hemorrhagic fever in Xi'an
- Perspective on the chaos of public funds lending
- "Deng island Master": in this life, it's worth it!
- What are the main means of word-of-mouth marketing?
- How to register trademarks faster?
- Investment media network: how is xiaohongshu promoted? What are their promotion methods?
- PR zero foundation from introduction to mastery (video tutorial)
- Why can trucks with a load of 198 tons and an overload of 400% get on the highway? High speed entrance station response
- Driving the ecological carbon reduction of 1.5 billion tons in 15 years, Ali and experts from all walks of life made suggestions