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2021-12-18

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J.P.Morgan Securities to pay $125 mln to settle SEC charges on record-keeping lapses<blockquote>摩根大通证券将支付1.25亿美元以和解SEC对记录保存失误的指控</blockquote>

The U.S. Securities and Exchange Commission has fined J.P. Morgan Securities $125 million for "wides

J.P.Morgan Securities to pay $125 mln to settle SEC charges on record-keeping lapses<blockquote>摩根大通证券将支付1.25亿美元以和解SEC对记录保存失误的指控</blockquote>

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Morgan Securities $125 million for \"wides","content":"The U.S. Securities and Exchange Commission has fined J.P. Morgan Securities $125 million for \"widespread\" failures to preserve staff communications on personal mobile devices, messaging apps and emails, and is probing similar lapses at other financial institutions, it said on Friday.<blockquote>美国证券交易委员会周五表示，摩根大通证券因“普遍”未能保存员工在个人移动设备、消息应用程序和电子邮件上的通信而对其罚款1.25亿美元，并正在调查其他金融机构的类似失误。</blockquote> JPMorgan Chase &amp; Co's broker-dealer subsidiary admitted to the charges and to violating securities laws. It also agreed to implement robust improvements to compliance policies, in addition to the fine, the SEC said.<blockquote>摩根大通的经纪自营商子公司承认了这些指控并违反了证券法。美国证券交易委员会表示，除了罚款之外，它还同意对合规政策实施强有力的改进。</blockquote> \"The firm's actions meaningfully impacted the SEC's ability to investigate potential violations of the federal securities laws,\" the SEC said.<blockquote>SEC表示：“该公司的行为严重影响了SEC调查潜在违反联邦证券法行为的能力。”</blockquote> The penalty is one of the first major enforcement actions brought under Democrat-appointed SEC Chair Gary Gensler, who has pledged to crack down on misconduct by Wall Street companies.<blockquote>此次处罚是民主党任命的SEC主席加里·詹斯勒(Gary Gensler)领导下采取的首批重大执法行动之一，他承诺打击华尔街公司的不当行为。</blockquote> The SEC said it discovered J.P. Morgan Securities had been violating rules that require firms to preserve written business communications when the broker was unable to produce records during the course of other investigations.<blockquote>美国证券交易委员会表示，它发现摩根大通证券违反了要求公司在其他调查过程中无法出示记录时保留书面商业通信的规定。</blockquote> As a result of the JPMorgan probe the SEC has opened investigations into other firms' records-keeping practices, it said, confirming an October Reuters report.<blockquote>报告称，由于摩根大通的调查，美国证券交易委员会已对其他公司的记录保存做法展开调查，这证实了路透社10月份的报道。</blockquote> \"This is an issue that we're seeing at other firms,\" said an SEC official, adding that \"individuals and entities that self report\" will fare better in penalty negotiations.<blockquote>美国证券交易委员会的一位官员表示：“这是我们在其他公司也看到的问题。”他补充说，“自我报告的个人和实体”在处罚谈判中会表现得更好。</blockquote> From at least January 2018 through November 2020, J.P.Morgan Securities' employees often communicated about securities business matters on their personal devices, using text messages, WhatsApp, and personal email accounts, the SEC said.<blockquote>SEC表示，至少从2018年1月到2020年11月，摩根大通证券的员工经常使用短信、WhatsApp和个人电子邮件账户在个人设备上就证券业务事宜进行沟通。</blockquote> None of these records were preserved. The lapses were institution-wide and known to senior management, who also used personal devices to discuss business matters, the SEC said.<blockquote>这些记录都没有被保存下来。SEC表示，这些失误是整个机构范围内的，高级管理层都知道，他们也使用个人设备讨论商业事务。</blockquote> It added that J.P. Morgan Securities agreed to retain a compliance consultant and conduct a comprehensive review of its policies and procedures relating to the retention of electronic communications found on personal devices, among other remedies.<blockquote>它补充说，摩根大通证券同意聘请一名合规顾问，并对其与保留个人设备上发现的电子通信相关的政策和程序以及其他补救措施进行全面审查。</blockquote>","collect":0,"html":"<!DOCTYPE html>\n<html>\n<head>\n<meta http-equiv=\"Content-Type\" content=\"text/html; charset=utf-8\" />\n<meta name=\"viewport\" content=\"width=device-width,initial-scale=1.0,minimum-scale=1.0,maximum-scale=1.0,user-scalable=no\"/>\n<meta name=\"format-detection\" content=\"telephone=no,email=no,address=no\" />\n<title>J.P.Morgan Securities to pay $125 mln to settle SEC charges on record-keeping lapses<blockquote>摩根大通证券将支付1.25亿美元以和解SEC对记录保存失误的指控</blockquote></title>\n<style type=\"text/css\">\na,abbr,acronym,address,applet,article,aside,audio,b,big,blockquote,body,canvas,caption,center,cite,code,dd,del,details,dfn,div,dl,dt,\nem,embed,fieldset,figcaption,figure,footer,form,h1,h2,h3,h4,h5,h6,header,hgroup,html,i,iframe,img,ins,kbd,label,legend,li,mark,menu,nav,\nobject,ol,output,p,pre,q,ruby,s,samp,section,small,span,strike,strong,sub,summary,sup,table,tbody,td,tfoot,th,thead,time,tr,tt,u,ul,var,video{ font:inherit;margin:0;padding:0;vertical-align:baseline;border:0 }\nbody{ font-size:16px; line-height:1.5; color:#999; background:transparent; }\n.wrapper{ overflow:hidden;word-break:break-all;padding:10px; }\nh1,h2{ font-weight:normal; line-height:1.35; margin-bottom:.6em; }\nh3,h4,h5,h6{ line-height:1.35; margin-bottom:1em; }\nh1{ font-size:24px; }\nh2{ font-size:20px; }\nh3{ font-size:18px; }\nh4{ font-size:16px; }\nh5{ font-size:14px; }\nh6{ font-size:12px; }\np,ul,ol,blockquote,dl,table{ margin:1.2em 0; }\nul,ol{ margin-left:2em; }\nul{ list-style:disc; }\nol{ list-style:decimal; }\nli,li p{ margin:10px 0;}\nimg{ max-width:100%;display:block;margin:0 auto 1em; }\nblockquote{ color:#B5B2B1; border-left:3px solid #aaa; padding:1em; }\nstrong,b{font-weight:bold;}\nem,i{font-style:italic;}\ntable{ width:100%;border-collapse:collapse;border-spacing:1px;margin:1em 0;font-size:.9em; }\nth,td{ padding:5px;text-align:left;border:1px solid #aaa; }\nth{ font-weight:bold;background:#5d5d5d; }\n.symbol-link{font-weight:bold;}\n/* header{ border-bottom:1px solid #494756; } */\n.title{ margin:0 0 8px;line-height:1.3;color:#ddd; }\n.meta {color:#5e5c6d;font-size:13px;margin:0 0 .5em; }\na{text-decoration:none; color:#2a4b87;}\n.meta .head { display: inline-block; overflow: hidden}\n.head .h-thumb { width: 30px; height: 30px; margin: 0; padding: 0; border-radius: 50%; float: left;}\n.head .h-content { margin: 0; padding: 0 0 0 9px; float: left;}\n.head .h-name {font-size: 13px; color: #eee; margin: 0;}\n.head .h-time {font-size: 12.5px; color: #7E829C; margin: 0;}\n.small {font-size: 12.5px; display: inline-block; transform: scale(0.9); -webkit-transform: scale(0.9); transform-origin: left; -webkit-transform-origin: left;}\n.smaller {font-size: 12.5px; display: inline-block; transform: scale(0.8); -webkit-transform: scale(0.8); transform-origin: left; -webkit-transform-origin: left;}\n.bt-text {font-size: 12px;margin: 1.5em 0 0 0}\n.bt-text p {margin: 0}\n</style>\n</head>\n<body>\n<div class=\"wrapper\">\n<header>\n<h2 class=\"title\">\nJ.P.Morgan Securities to pay $125 mln to settle SEC charges on record-keeping lapses<blockquote>摩根大通证券将支付1.25亿美元以和解SEC对记录保存失误的指控</blockquote>\n</h2>\n<h4 class=\"meta\">\n\nReuters2021-12-17 21:48\n\n</h4>\n</header>\n<article>\nThe U.S. Securities and Exchange Commission has fined J.P. Morgan Securities $125 million for \"widespread\" failures to preserve staff communications on personal mobile devices, messaging apps and emails, and is probing similar lapses at other financial institutions, it said on Friday.<blockquote>美国证券交易委员会周五表示，摩根大通证券因“普遍”未能保存员工在个人移动设备、消息应用程序和电子邮件上的通信而对其罚款1.25亿美元，并正在调查其他金融机构的类似失误。</blockquote> JPMorgan Chase &amp; Co's broker-dealer subsidiary admitted to the charges and to violating securities laws. It also agreed to implement robust improvements to compliance policies, in addition to the fine, the SEC said.<blockquote>摩根大通的经纪自营商子公司承认了这些指控并违反了证券法。美国证券交易委员会表示，除了罚款之外，它还同意对合规政策实施强有力的改进。</blockquote> \"The firm's actions meaningfully impacted the SEC's ability to investigate potential violations of the federal securities laws,\" the SEC said.<blockquote>SEC表示：“该公司的行为严重影响了SEC调查潜在违反联邦证券法行为的能力。”</blockquote> The penalty is one of the first major enforcement actions brought under Democrat-appointed SEC Chair Gary Gensler, who has pledged to crack down on misconduct by Wall Street companies.<blockquote>此次处罚是民主党任命的SEC主席加里·詹斯勒(Gary Gensler)领导下采取的首批重大执法行动之一，他承诺打击华尔街公司的不当行为。</blockquote> The SEC said it discovered J.P. Morgan Securities had been violating rules that require firms to preserve written business communications when the broker was unable to produce records during the course of other investigations.<blockquote>美国证券交易委员会表示，它发现摩根大通证券违反了要求公司在其他调查过程中无法出示记录时保留书面商业通信的规定。</blockquote> As a result of the JPMorgan probe the SEC has opened investigations into other firms' records-keeping practices, it said, confirming an October Reuters report.<blockquote>报告称，由于摩根大通的调查，美国证券交易委员会已对其他公司的记录保存做法展开调查，这证实了路透社10月份的报道。</blockquote> \"This is an issue that we're seeing at other firms,\" said an SEC official, adding that \"individuals and entities that self report\" will fare better in penalty negotiations.<blockquote>美国证券交易委员会的一位官员表示：“这是我们在其他公司也看到的问题。”他补充说，“自我报告的个人和实体”在处罚谈判中会表现得更好。</blockquote> From at least January 2018 through November 2020, J.P.Morgan Securities' employees often communicated about securities business matters on their personal devices, using text messages, WhatsApp, and personal email accounts, the SEC said.<blockquote>SEC表示，至少从2018年1月到2020年11月，摩根大通证券的员工经常使用短信、WhatsApp和个人电子邮件账户在个人设备上就证券业务事宜进行沟通。</blockquote> None of these records were preserved. The lapses were institution-wide and known to senior management, who also used personal devices to discuss business matters, the SEC said.<blockquote>这些记录都没有被保存下来。SEC表示，这些失误是整个机构范围内的，高级管理层都知道，他们也使用个人设备讨论商业事务。</blockquote> It added that J.P. Morgan Securities agreed to retain a compliance consultant and conduct a comprehensive review of its policies and procedures relating to the retention of electronic communications found on personal devices, among other remedies.<blockquote>它补充说，摩根大通证券同意聘请一名合规顾问，并对其与保留个人设备上发现的电子通信相关的政策和程序以及其他补救措施进行全面审查。</blockquote>\n<div class=\"bt-text\">\n\n\n 来源：<a href=\"https://finance.yahoo.com/news/j-p-morgan-securities-pay-133000957.html\">Reuters</a>\n为提升您的阅读体验，我们对本页面进行了排版优化\n\n\n</div>\n</article>\n</div>\n</body>\n</html>\n","type":0,"thumbnail":"","relate_stocks":{"JPM":"摩根大通"},"source_url":"https://finance.yahoo.com/news/j-p-morgan-securities-pay-133000957.html","is_english":true,"share_image_url":"https://static.laohu8.com/e9f99090a1c2ed51c021029395664489","article_id":"1172148702","content_text":"The U.S. Securities and Exchange Commission has fined J.P. Morgan Securities $125 million for \"widespread\" failures to preserve staff communications on personal mobile devices, messaging apps and emails, and is probing similar lapses at other financial institutions, it said on Friday.\nJPMorgan Chase & Co's broker-dealer subsidiary admitted to the charges and to violating securities laws. It also agreed to implement robust improvements to compliance policies, in addition to the fine, the SEC said.\n\"The firm's actions meaningfully impacted the SEC's ability to investigate potential violations of the federal securities laws,\" the SEC said.\nThe penalty is one of the first major enforcement actions brought under Democrat-appointed SEC Chair Gary Gensler, who has pledged to crack down on misconduct by Wall Street companies.\nThe SEC said it discovered J.P. Morgan Securities had been violating rules that require firms to preserve written business communications when the broker was unable to produce records during the course of other investigations.\nAs a result of the JPMorgan probe the SEC has opened investigations into other firms' records-keeping practices, it said, confirming an October Reuters report.\n\"This is an issue that we're seeing at other firms,\" said an SEC official, adding that \"individuals and entities that self report\" will fare better in penalty negotiations.\nFrom at least January 2018 through November 2020, J.P.Morgan Securities' employees often communicated about securities business matters on their personal devices, using text messages, WhatsApp, and personal email accounts, the SEC said.\nNone of these records were preserved. The lapses were institution-wide and known to senior management, who also used personal devices to discuss business matters, the SEC said.\nIt added that J.P. Morgan Securities agreed to retain a compliance consultant and conduct a comprehensive review of its policies and procedures relating to the retention of electronic communications found on personal devices, among other remedies.","news_type":1,"symbols_score_info":{"JPM":0.9}},"isVote":1,"tweetType":1,"viewCount":2014,"commentLimit":10,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"symbols":[],"verified":2,"subType":0,"readableState":1,"langContent":"CN","currentLanguage":"CN","warmUpFlag":false,"orderFlag":false,"shareable":true,"causeOfNotShareable":"","featuresForAnalytics":[],"commentAndTweetFlag":false,"andRepostAutoSelectedFlag":false,"upFlag":false,"length":4,"xxTargetLangEnum":"ZH_CN"},"commentList":[],"hasMoreComment":false,"orderType":2}