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SEC Hits 11 Firms With $88 Million in Penalties for Off-Channel Communications
Stifel, Nicolaus & Co. and Invesco each agreed to pay $35 million to settle charges that they failed to record employee communications on unapproved communications channels.
SEC hits nearly a dozen firms with $88M in penalties in latest recordkeeping sweep
One firm avoided penalties as it proactively self-reported and took compliance action, according to the regulator.
Stifel, Invesco Among 11 Firms Paying $88M To Settle SEC Off-Channel Comms Charges
According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self-reported the results of its investigation.
Eleven Firms to Pay More Than $88 Million Combined to Settle SEC's Charges for Widespread Recordkeeping Failures
September 24, 2024) - The Securities and Exchange Commission today announced charges against 12 firms, comprising broker-dealers, investment advisers, and one dually-registered broker-dealer and investment adviser,
Regs levy $120M in fines over off-channel comms with two firms avoiding penalties
Regulators continue to hammer firms with fines for violating rules regarding the use of unapproved communication methods by employees, issuing $120 million in fines this week. And for the first time,
WealthManagement.com
3d
Stifel, Invesco Among 11 Firms Paying $88M To Settle SEC Off-Channel Communications Violations
Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel ...
3d
on MSN
SEC Issues $88 Million Fine Against 12 Firms for Record-Keeping Failures
The Securities and Exchange Commission said 12 firms agreed to pay combined civil penalties of $88.3 million for violating ...
Pensions&Investments
2d
SEC fines firms over $88 million for record-keeping violations
The Securities and Exchange Commission charged 12 firms with record-keeping violations, and levied a total of more than $88 ...
Financial Planning
3d
WhatsApp case raises question if firms can even comply with SEC rules, commissioners say
A pair of SEC commissioners say the treatment of the brokerage firm Qatalyst shows industry watchdogs expect nothing short of ...
Think Advisor
3d
SEC Hits Stifel, Others With $88M in Texting Fines
The SEC’s crackdown on texting and the use of unauthorized messaging apps has continued with 12 municipal advisors being charged more than $1.3 million in combined fines, as well as six nationally ...
planadviser.com
3d
SEC Charges 12 Financial Firms for Recordkeeping Failures
The firms will pay a total of $88.2 million in civil penalties.
3d
CIBC, Invesco, Stifel Pay Millions to Settle WhatsApp Probes
US regulators levied more than $118 million in penalties against several financial firms for failing to keep employees’ ...
3d
on MSN
SEC charges 12 more financial firms in messaging/communications probe
The U.S. Securities and Exchange Commission's wide-sweeping investigation into recordkeeping violations resulted in a crop of ...
3d
Wall St Firms to Pay Combined $100 Million for Record-Keeping Violations
(Reuters) - Eleven broker-dealers and investment advisers have agreed to pay fines of more than $88 million to resolve ...
Benefits Pro
2d
Stifel Financial, Invesco fined $35M each by SEC for misuse of texting apps, in latest crackdown
In latest SEC investigation, 11 firms will pay more than $88 million to settle charges related to off-channel texting ...
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