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Top related persons:
” Sanjay Wadhwa - 2 Banks - 1 ” - 1 Tesla - 1 Chris Isidore - 1 Refinitiv - 1 Dan Ives - 1 “ Price - 1
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New York Wells Fargo WhatsApp London United States SMBC Nikko Securities America
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New York CNN - 2 SEC - 2 CNN Business - 1 Bell - 1 HSBC - 1 CNN - 1 Bloomberg - 1 Securities and Exchange Commission - 1

Search resuls for: "” Sanjay Wadhwa"


2 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
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