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Northwestern Mutual subsidiaries to pay $16 5 million penalty following recordkeeping failures

Three Northwestern Mutual subsidiaries will pay a $16.5 million civil penalty after the SEC discovered several recordkeeping violations.

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AI, tech could provide key to avoiding WhatsApp violations

AI, tech could provide key to avoiding WhatsApp violations
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SEC sanctions brokers texting | Investment Executive

Firms failed to ensure that all communications went through approved channels

United kingdomGurbir grewalCapstone capital marketsKey investment servicesLincoln financial advisors corpNorthwestern mutual investment servicesOppenheimer coGuggenheim securitiesCambridge investment research incHuntington securities incHuntington investment coUs bancorp investments incCambridge investment researchLincoln financial advisorsHuntington securities

Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures

Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures
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SEC Nabs $81 Million in Fines in Recordkeeping Sweep

By Dean Seal The Securities and Exchange Commission has secured $81 million in fines from 16 different firms over widespread violations of recordkeeping requirements tied to the use of text.

Gurbir grewalOppenheimer coHuntington investment companyExchange commissionNorthwestern mutual investment servicesDean sealWall streetGuggenheim securitiesHuntington securitiesCapstone capital marketsDirector gurbir grewalDow jones