Belgian watchdog warns public to beware of investment tips on WhatsApp
Belgium’s Financial Services and Markets Authority (FSMA) has received an increasing number of reports of dubious WhatsApp groups.
BaFin warns of stock recommendations in WhatsApp groups
Germany’s Federal Financial Supervisory Authority (BaFin) today issued a warning against stock recommendations made via WhatsApp groups.
ASIC warns about unlicensed stock tip promotors through private chat apps – Juhbz and Ptounx
ASIC is seeing an increase in a suspected investment scam involving social media ads for investing opportunities and tips.
Italy’s CONSOB warns of financial fraud spreading on WhatsApp
Italy’s Companies and Exchange Commission (CONSOB) today issued a warning of financial fraud spreading on WhatsApp.
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.
Ofgem imposes £5.4M fine on Morgan Stanley for WhatsApp communications by traders
These communications were made by wholesale energy traders, on privately-owned phones via WhatsApp, which discussed energy market transactions.
SEC brings charges against 11 Wall Street firms, imposes fines of $289M
The firms have begun implementing improvements to their compliance policies and procedures to address these violations.
CFTC imposes $15M fine on The Bank of Nova Scotia for employees’ use of WhatsApp
The CFTC has fined The Bank of Nova Scotia $15 million for supervision failures for use of unapproved communication methods.
Stripe, WhatsApp partner to enable Singapore businesses to accept payments directly in chats
Stripe has announced a partnership with WhatsApp that allows Singapore businesses to accept payments directly in WhatsApp chats.
FINRA suspends ex-UBS rep for using WhatsApp
FINRA has suspended former UBS representative Ramiro Luis Colon III for using WhatsApp Messenger to communicate about securities-related business.
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