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.