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The SEC & CFTC have fined JPMorgan Securities for not keeping records of communication via devices, text messages, WhatsApp, and personal email accounts.
JPMorgan Chase & Co. is paying a hefty $200 million in fines to the SEC and the CFTC on charges that it failed to retain and store trading-related digital communication records of staff members of JPMorgan Securities (JPMS), a broker-dealer subsidiary of the financial services giant. JPMorgan will be paying $125 million to the SEC...
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