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U.S. Bank, KeyBank, Huntington tagged in $81M round of SEC penalties | Banking Dive

Retrieved on: 2024-02-09 18:16:44

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U.S. Bank, KeyBank, Huntington tagged in $81M round of SEC penalties | Banking Dive. View article details on HISWAI: https://www.bankingdive.com/news/sec-whatsapp-probe-us-bank-keybank-huntington-81m-penalties/707132/

Summary

The SEC fined 16 financial firms, including prominent capital market participants, $81 million for failure to keep proper records, especially regarding off-channel communications like WhatsApp, highlighting regulatory compliance in broker-dealer operations.

Article found on: www.bankingdive.com

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