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SEC fines 8 Wall Street firms over $100M in WhatsApp probe

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nypost.com/2023/09/29/sec-fines-8-wall-street-firms-over-100m-in-whatsapp-probe

Regulators on Friday fined eight companies a combined $111 million over record-keeping lapses, the latest in a series of enforcement actions levied over Wall Street’s use of WhatsApp and other unapproved messaging channels for discussing business.
The Securities and Exchange Commission said eight broker-dealers, investment advisers, and rating agencies, including Perella…

This story from nypost.com was posted on 2023-09-30 by @mapleaf.

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