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Broker-Dealers Urged to Review Policies to Stay Compliant

Broker-Dealers Urged to Review Policies to Stay Compliant
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Executive iMessage use led to record SEC fines

Several banks and Wall Street firms have just been fined millions of dollars for hiding messages in a variety of different messaging apps, including Apple's own iMessage.

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Wells Fargo, Others Ordered To Pay $550 Mln In Fines For Use Of Unapproved Communication Methods

Wells Fargo, Others Ordered To Pay $550 Mln In Fines For Use Of Unapproved Communication Methods
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Encrypted iMessage chats lead to record-breaking SEC fines for Wells Fargo, Wall Street - General Discussion Discussions on AppleInsider Forums

Several banks and Wall Street firms have just been fined millions of dollars for hiding messages in a variety of different messaging apps, including Apple s own iMessage.

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11 Wall Street Firms Charged with Widespread Recordkeeping Failures and $289 Million in Fines

11 Wall Street Firms Charged with Widespread Recordkeeping Failures and $289 Million in Fines
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