CP24@CP24

1 year ago

RBC, TD to pay millions to settle U.S. SEC charges over recordkeeping violations https://t.co/pgcdg4KHEh

SEC slaps more Wall Street firms with $390M in fines over unauthorized text, WhatsApp messages https://t.co/yVM3slbOGO https://t.co/3cPQtllOPE

Another group of Wall Street firms agreed to pay over $470 million to US regulators to settle civil charges they violated recordkeeping rules, the SEC and the CFTC said. TD Securities, BNY and Truist were among the Wall Street firms that settled charges https://t.co/tqODUCNUZ5 https://t.co/Z0zEQlC8gk