DIRS.INFO top alerts submit data jurnalism about API
login
Top related persons:
” Sanjay Wadhwa - 2 Banks - 1 ” - 1 Tesla - 1 Chris Isidore - 1 Refinitiv - 1 Dan Ives - 1 “ Price - 1
Top related locs:
New York Wells Fargo WhatsApp London United States SMBC Nikko Securities America Washington U.S
Top related orgs:
SEC - 3 New York CNN - 2 Citigroup - 2 Securities - 2 Exchange Commission - 2 Wall Street - 2 CFTC - 2 CNN Business - 1

Search resuls for: "Sanjay Wadhwa"


4 mentions found


☆ Premarket stocks: How billion-dollar fines are reshaping digital communications in banking
  + stars: | 2023-10-19 | by ( Nicole Goodkind | ) edition.cnn.com   time to read: +6 min
A version of this story first appeared in CNN Business’ Before the Bell newsletter. HSBC is blocking staff from texting on their work phones, a person familiar with the matter confirmed to CNN. What’s happening: Banks must follow strict compliance rules for how they use and store their employees’ texts and other business communications. “Banks use a wide range of approved channels to communicate in compliance with regulatory obligations,” a company spokesperson told CNN. Tesla reported adjusted earnings of $2.3 billion in the quarter, or 66 cents a share, down 37% from a year earlier and the smallest profits it reported in two years.
Persons: Banks, ”, ” Sanjay Wadhwa, Tesla, Chris Isidore, Refinitiv, Dan Ives, “ Price, Elon Musk, “, ’, Craig Jelinek, Ron Vachris, Jelinek Organizations: CNN Business, Bell, New York CNN, HSBC, CNN, Bloomberg, Securities and Exchange Commission, SEC, Commodity Futures Trading Commission, “ HSBC, Carlyle Group, Blackstone, Bank of America, Citigroup, Wedbush Securities, Costco, Sam’s Club, Walmart Locations: New York, London, Wells Fargo, WhatsApp, United States
☆ Regulators fine Wall Street firms $549 million for using WhatsApp and other channels to discuss business
  + stars: | 2023-08-08 | by ( Matt Egan | ) edition.cnn.com   time to read: +1 min
New York CNN —Wells Fargo and a slew of other Wall Street firms admitted Tuesday to using WhatsApp, Signal and other messaging platforms for “off-channel” communications in violation of federal recordkeeping requirements. The Securities and Exchange Commission said the Wall Street firms acknowledged wrongdoing and have agreed to pay penalties totaling $289 million. The SEC said the firms violated federal securities laws by failing to maintain or preserve the “substantial majority” of these communications. Another regulator, the Commodity Futures Trading Commission, also fined four of the same Wall Street firms for failing to maintain records and failing to supervise matters related to their businesses. The CFTC hit Bank of Montreal with a $35 million fine and a $75 million fine each for BNP Paribas, Societe Generale and Wells Fargo.
Persons: Wells, Houlihan Lokey, ” Sanjay Wadhwa Organizations: New, New York CNN, Securities, Exchange Commission, Wall Street, SEC, BNP, SG Americas, BMO Capital Markets, Mizuho Securities, SMBC Nikko Securities, Futures Trading Commission, CFTC, Bank of Montreal, BNP Paribas, Societe Generale Locations: New York, Wells Fargo, SMBC Nikko Securities America, WhatsApp
☆ Banks hit with $549 million in fines for use of Signal, WhatsApp to evade regulators’ reach
  + stars: | 2023-08-08 | by ( Hugh Son | ) www.cnbc.com   time to read: +1 min
U.S. Securities and Exchange Commission (SEC) Chairman Gary Gensler, testifies before the Senate Banking, Housing and Urban Affairs Committee during an oversight hearing on Capitol Hill in Washington, September 15, 2022. U.S. regulators on Tuesday announced a combined $549 million in penalties against Wells Fargo and a raft of smaller or non-U.S. firms that failed to maintain electronic records of employee communications. It was regulators' latest effort to stamp out the pervasive use of secure messaging apps like Signal, Meta 's WhatsApp or Apple 's iMessage by Wall Street employees and managers. Starting in late 2021, the watchdogs secured settlements with bigger players including JPMorgan Chase , Goldman Sachs , Morgan Stanley and Citigroup . Fines related to the issue total more than $2 billion, according to the SEC and CFTC.
Persons: Gary Gensler, JPMorgan Chase, Goldman Sachs, Morgan Stanley, Sanjay Wadhwa Organizations: . Securities, Exchange Commission, SEC, Banking, Housing, Urban Affairs Committee, Capitol, Wells, Securities, Futures Trading, Wall Street, JPMorgan, Citigroup, CFTC Locations: Washington, U.S
☆ Harry Jowsey wants to be the next Ashton Kutcher, but will he be too hot for startups to handle?
  + stars: | 2022-06-19 | by ( Ryan Hogg | ) www.businessinsider.com   time to read: +5 min
Harry Jowsey is an influencer best known for appearing on Netflix's "Too Hot To Handle." Australian-born Jowsey aims to invest in about 10 companies including dating apps and gaming sites. A social media extrovert with acting ambitions, Jowsey models himself on Ashton Kutcher, an actor and prankster-turned serial entrepreneur. Like the actor, Jowsey has been backing companies he knows, funding startups linking tech and social media. Jowsey didn't respond to Rybchin's comments and the startups mentioned in this article didn't respond to a request for comment.
0 next >>
Total: 4