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SEC Fines 11 Companies More Than $88 Million for Record-Keeping Violations

Summary by The Epoch Times
The U.S. Securities and Exchange Commission (SEC) announced that 11 financial firms, including broker-dealers and investment advisers, have agreed to pay more than $88 million in penalties to settle charges of failures to comply with federal record-keeping laws. The SEC said in a Sept. 24 announcement that the violations were related to the improper use of unapproved electronic communication methods—known as “off-channel communications”—that the…

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The Epoch TimesThe Epoch Times

SEC Fines 11 Companies More Than $88 Million for Record-Keeping Violations

The U.S. Securities and Exchange Commission (SEC) announced that 11 financial firms, including broker-dealers and investment advisers, have agreed to pay more than $88 million in penalties to settle charges of failures to comply with federal record-keeping laws. The SEC said in a Sept. 24 announcement that the violations were related to the improper use of unapproved electronic communication methods—known as “off-channel communications”—that the…

·New York, United States
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Collingwood TodayCollingwood Today

CIBC paying US$42 million for U.S. records-keeping violations

TORONTO — CIBC is the latest Canadian bank to face fines for records-keeping violations in the United States.

·Collingwood, Canada
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InnisfilToday.caInnisfilToday.ca

CIBC paying US$42 million for U.S. records-keeping violations

TORONTO — CIBC is the latest Canadian bank to face fines for records-keeping violations in the United States.

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CambridgeToday.caCambridgeToday.ca

CIBC paying US$42 million for U.S. records-keeping violations

TORONTO — CIBC is the latest Canadian bank to face fines for records-keeping violations in the United States.

Read Full Article
StratfordToday.caStratfordToday.ca

CIBC paying US$42 million for U.S. records-keeping violations

TORONTO — CIBC is the latest Canadian bank to face fines for records-keeping violations in the United States.

Read Full Article
The NOTL LocalThe NOTL Local

CIBC paying US$42 million for U.S. records-keeping violations

TORONTO — CIBC is the latest Canadian bank to face fines for records-keeping violations in the United States.

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