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Top related persons:
Wells - 1 Société - 1 Spokespeople - 1 Gurbir Grewal - 1 Chris Prentice - 1 Susan Heavey - 1 Nivedita Balu - 1 Nupur Anand - 1
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Wall Street - 1 Wells - 1 Wells Fargo Securities - 1 BNP Paribas Securities Corp - 1 U.S . Securities - 1 Exchange Commission - 1 Futures Trading - 1 BNP - 1

Search resuls for: "BNP Paribas Securities Corp"


2 mentions found


☆ US regulators hit more Wall Street firms with record-keeping fines
  + stars: | 2023-08-08 | by ( Chris Prentice | Thomson Reuters | Chris Prentice Reports On Financial Crimes | ) www.reuters.com   time to read: +2 min
WASHINGTON, Aug 8 (Reuters) - U.S. regulators on Tuesday hit another batch of Wall Street firms with $549 million in civil penalties over widespread record-keeping failures related to employees' use of personal text messages and other messaging apps. Eleven firms, including Wells Fargo Securities and BNP Paribas Securities Corp, have agreed to pay $289 million in fines to the U.S. Securities and Exchange Commission to resolve the allegations. Regulators require broker dealers and investment advisers to keep certain work-related communications, but Wall Street dealers have increasingly used personal devices in recent years. Spokespeople for BNP, which agreed to pay $110 million to the regulators, and Mizuho, which agreed to pay $25 million to the SEC, declined to comment. The regulators have already fined units of JPMorgan Chase and Co (JPM.N), Barclays, Bank of America and others for similar record-keeping failures.
Persons: Wells, Société, Spokespeople, Gurbir Grewal, Chris Prentice, Susan Heavey, Nivedita Balu, Nupur Anand, Saeed Azhar, Bernadette Baum, Jason Neely Organizations: Wall Street, Wells, Wells Fargo Securities, BNP Paribas Securities Corp, U.S . Securities, Exchange Commission, Futures Trading, BNP, Bank of Montreal, Wedbush Securities Inc, Wall, SEC, CFTC, Mizuho, Nikko Securities, JPMorgan Chase, Barclays, Bank of America, Reuters, Thomson Locations: U.S, Wells Fargo, Nikko, New York, Washington, Toronto
☆ The media business is in turmoil — but its stocks may be close to bottoming
  + stars: | 2022-12-07 | by ( Paul R. La Monica | ) edition.cnn.com   time to read: +4 min
Wall Street, for what it’s worth, seems to think the worst is over for the streaming leader after it finally decided to cave and launch an ad-supported service. And what’s more, many media companies are in the midst of layoffs and other cost-cutting measures, including CNN and its parent Warner Bros. But Wall Street is certainly more bullish about the prospects for media stocks. Wall Street is predicting that Warner Bros. So even though it feels like there’s still more bad news to come, media stocks may have already hit the bottom.
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