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JPMorgan brokerage unit fined $200m after failure to monitor WhatsApp, other messaging apps
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The brokerage arm of JPMorgan on 17 December agreed to pay $200m in fines and admit that it failed to keep track of employees’ use of personal messaging apps that circumvented record-keeping requirements.
The Securities and Exchange Commission said its fine, $125m, is the largest ever for a breach of rules requiring brokerages to retain most communications so the data can be monitored internally and made available to regulators. The SEC said the breakdown was widespread and hindered some
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