You are browsing the Hong Kong website, Regulated by Hong Kong SFC (CE number: BJA907). Investment is risky and you must be cautious when entering the market.
摩通(JPM.US)向美國監管機構支付2億美元 解決紀錄保存失誤指控
阿思達克 12-18 11:46
美國證券交易委員會(SEC)公佈,向摩根大通(JPM.US)罰款1.25億美元,指其未能防止僱員透過私人通訊設備,如手提電話及電郵等處理公務,致當局在處理調查時未能發現相關通訊紀錄。另外商品期貨交易委員會亦向摩通就同樣問題罰款7,500萬美元,即摩通合共因此遭罰2億美元。 是次爲SEC主席Gary Gensler上場後首宗主要頒罰,當局並指其他金融機構亦存在類似問題,正進行調查。摩通發言人未有就此進行迴應。
Follow us
Find us on Facebook, Twitter , Instagram, and YouTube or frequent updates on all things investing.Have a financial topic you would like to discuss? Head over to the uSMART Community to share your thoughts and insights about the market! Click the picture below to download and explore uSMART app!
Disclaimers
uSmart Securities Limited (“uSmart”) is based on its internal research and public third party information in preparation of this article. Although uSmart uses its best endeavours to ensure the content of this article is accurate, uSmart does not guarantee the accuracy, timeliness or completeness of the information of this article and is not responsible for any views/opinions/comments in this article. Opinions, forecasts and estimations reflect uSmart’s assessment as of the date of this article and are subject to change. uSmart has no obligation to notify you or anyone of any such changes. You must make independent analysis and judgment on any matters involved in this article. uSmart and any directors, officers, employees or agents of uSmart will not be liable for any loss or damage suffered by any person in reliance on any representation or omission in the content of this article. The content of the article is for reference only and does not constitute any offer, solicitation, recommendation, opinion or guarantee of any securities, virtual assets, financial products or instruments. Regulatory authorities may restrict the trading of virtual asset-related ETFs to only investors who meet specified requirements. Any calculations or images in the article are for illustrative purposes only.
Investment involves risks and the value and income from securities may rise or fall. Past performance is not indicative of future performance. Please carefully consider your personal risk tolerance, and consult independent professional advice if necessary.
uSMART
Wealth Growth Made Easy
Open Account