article thumbnail

SEC Fines Firms $81M For Off-Channel Communications Lapses

Wealth Management

mirror other allegations concerning retaining electronic communications. The settlements with Northwestern Mutual, Guggenheim and Oppenheimer & Co.

article thumbnail

: SEC levies $4 mln penalty on JPMorgan Chase for deleting 47 mln ‘electronic communications’

MarketWatch

JPM to pay a $4 million penalty for allegedly violating rules for broker dealers to preserve all communications for at least three years. The SEC said JPMorgan deleted approximately 47 million communications between Jan. 1 through April 23, 2018 housed in approximately 8,700 electronic mailboxes.

Insiders

Sign Up for our Newsletter

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

article thumbnail

Weekend Reading For Financial Planners (March 23-24)

Nerd's Eye View

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the SEC has recently been cracking down on firms for recordkeeping failures related to electronic communications, including their use of text messaging with prospects and clients.

article thumbnail

Tata Communications Vs Tata Teleservices – Key Metrics and Analysis

Trade Brains

Tata Communications Vs Tata Teleservices: The Tata Group is one of the oldest and most prestigious business groups in India. Two companies -Tata Communications and Tata Teleservices in the telecom and media sector have given multibagger returns in the past five years. Tata Communications. Keep reading to find out! Data Business.

article thumbnail

Consumer electronics have changed a lot in 20 years – systems for managing e-waste aren’t keeping up

James Hendries

Computers, tablets and smartphones have transformed how we communicate, work, learn, share news and entertain ourselves. But few people realize that our reliance on electronics comes with steep environmental costs, from mining minerals to disposing of used devices. is decreasing. The bad news is that only about 35% of U.S.

article thumbnail

: China plans spy base in Cuba focused on U.S.: WSJ

MarketWatch

China and Cuba have reached an agreement in principle for Beijing to set up an electronic eavesdropping facility in the Caribbean island nation, according to a Wall Street Journal report citing unnamed U.S. officials familiar with highly classified documents. where many military bases are located, and monitor U.S.

article thumbnail

Best Defence Stocks With High FII Holdings To Add To Your Watchlist

Trade Brains

Under the defence segment, the company manufactures Radar and Fire Control Systems, Weapon Systems, Communication, Electronic Warfare Systems, Network network-centric systems (C4I), Avionics, Anti-Submarine Warfare Systems and sonars, Electro-Optics, Tank Electronics, Gun Upgrades, and Strategic Components. Stock P/E 31.5