Interactive Brokers to pay $20M to settle CFTC charges for recordkeeping and supervision failures
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Interactive Brokers Corp.
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Interactive Brokers Corp.
These communications were made by wholesale energy traders, on privately-owned phones via WhatsApp, which discussed energy market transactions.
The firms have begun implementing improvements to their compliance policies and procedures to address these violations.
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.
The FCA warns that it has acted against individuals for misconduct which involved the use of WhatsApp to arrange deals.
Facebook has been very patient since paying over $19 billion to acquire popular messaging app WhatsApp in 2014. When it […]