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SEC Fines Wells Fargos, BNP Paribas For “Off-channel” Communications
source link: https://www.trustnodes.com/2023/08/08/sec-fines-wells-fargos-bnp-paribas-for-off-channel-records
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SEC Fines Wells Fargos, BNP Paribas For “Off-channel” Communications
Wells Fargo
The Securities and Exchanges Commission (SEC) fined Wells Fargos, BNP Paribas and nine other entities for failing to preserve records of off channel communications, such as traders chatting on WhatsApp.
“The 11 firms settling today have acknowledged that their conduct violated the law," said Sanjay Wadhwa, Deputy Director of Enforcement at SEC.
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