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HSBC, Scotiabank latest caught in regs off-channel comms sting | News Brief

HSBC, Scotiabank latest caught in regs off-channel comms sting | News Brief
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SEC Fines HSBC, Scotia Capital Over Use of Messaging Apps

By Dean Seal The Securities and Exchange Commission has fined the U.S. units of HSBC Securities and Scotia Capital over their employees use of messaging applications that violated. | May 11, 2023

Gurbirs grewalExchange commissionCommodity futures trading commissionDean sealScotia capitalWall streetDirector gurbirNova scotiaScotia capital united statesDow jonesHsbc holdings plc stock exchangePress releaseHat hsba gb0005405286

SEC Fines HSBC, Scotia Capital Over Use of Messaging Apps -- Update

By Dean Seal The Securities and Exchange Commission has fined the U.S. units of HSBC Securities and Scotia Capital over their employees use of messaging applications that violated. | May 11, 2023

Gurbirs grewalCommodity futures trading commissionExchange commissionDean sealScotia capitalWall streetDirector gurbirNova scotiaScotia capital united statesDow jonesHsbc holdings plc stock exchangePress releaseHat hsba gb0005405286

Bank of Nova Scotia to Pay $15 Million CFTC Penalty for Recordkeeping, Supervision Failures

By Adriano Marchese Bank of Nova Scotia has agreed to settle an order by a U.S. government agency to pay a $15 million penalty for recordkeeping and supervision lapses. The Commodity. | May 11, 2023

Adriano marcheseCommodity futures trading commissionNova scotiaScotia capital united statesDow jonesThe bank of nova scotia stock exchangePress releaseHe bns ca0641491075