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Wells Fargo, Stifel Financial say regulators are probing use of unapproved message apps
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Wells Fargo and Stifel Financial said in filings that regulators are investigating their compliance with record-keeping requirements.
Last year, the Securities and Exchange Commission and the Commodity Futures Trading Commission ordered more than a dozen banks and brokerages to collectively pay $1.8bn for record-keeping violations with regard to employees’ usage of unapproved messaging apps for conducting business.
Wells...
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