Bafin, featured, WhatsApp
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Germany’s Federal Financial Supervisory Authority (BaFin) today issued a warning against stock recommendations made via WhatsApp groups.
ASIC, ASIC warning, featured, Juhbz, Ptounx, WhatsApp
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ASIC is seeing an increase in a suspected investment scam involving social media ads for investing opportunities and tips.
Consob, featured, WhatsApp
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Italy’s Companies and Exchange Commission (CONSOB) today issued a warning of financial fraud spreading on WhatsApp.
CFTC, featured, Interactive Brokers, WhatsApp
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The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Interactive Brokers Corp.
featured, Morgan Stanley, Ofgem, WhatsApp
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These communications were made by wholesale energy traders, on privately-owned phones via WhatsApp, which discussed energy market transactions.
BNP Paribas, featured, SEC, SMBC Nikko Securities, Wells Fargo, WhatsApp
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The firms have begun implementing improvements to their compliance policies and procedures to address these violations.
CFTC, featured, The Bank of Nova Scotia, WhatsApp
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The CFTC has fined The Bank of Nova Scotia $15 million for supervision failures for use of unapproved communication methods.
Stripe has announced a partnership with WhatsApp that allows Singapore businesses to accept payments directly in WhatsApp chats.
FINRA has suspended former UBS representative Ramiro Luis Colon III for using WhatsApp Messenger to communicate about securities-related business.
JPMorgan will have to pay a hefty fine as its employees used texts and WhatsApp on personal devices to conduct business.
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