![]() ![]() Banking giant HSBC is to pay a 15 million US dollar (£12 million) penalty after being charged by US authorities over record-keeping failures. A HSBC Securities e a Scotia Capital, …HSBC sign. ![]() “Both HSBC and Scotia Capital self-reported and self …blazer casa de apostas 【】Reguladores norte-americanos aplicaram multas civis às unidades do Bank of Nova Scotia e do HSBC por violações generalizadas de manutenção de registros por meio do uso de dispositivos pessoais e aplicativos pelos funcionários para comunicações de trabalho. The SEC adds both firms self-reported the violations after gathering communications from the personal devices of a sample of their employees. 25malx trending twitte Failing to preserve securities-related electronic #communications sent by workers on their personal devices led to #HSBC Securities to pay a $15M fine and #ScotiaCapital to pay …HSBC and Scotia Capital have acknowledged the SEC’s action and agreed to pay penalties of $15 million and $7.5 million respectively. CRD# 2739 SEC# 8-3716 Main Office Location 250 VESEY STREET NEW YORK, NY 10281 Regulated by FINRA New York Office Mailing Address 250 VESEY STREET NEW YORK, NY 10281 Business Telephone Number 21 Report Summary for this Firm This report summary provides an overview of the brokerage firm. The Securities and Exchange Commission (“Commission”) deems it appropriate and inSCOTIA CAPITAL (USA) INC. ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER I. Scotiacapital Scotia Capital (USA) Inc: Opinion on the Financial Statement We have audited the accompanying statement of financial condition of Scotia Capital (USA) Inc (a wholly …Scotia Capital (USA) Inc. ![]()
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