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2021-12-14

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JPMorgan in Talks to Pay $200 Million Fine Over Employee Text Messages<blockquote>摩根大通正在谈判因员工短信支付2亿美元罚款</blockquote>

Settlement would be first to emerge from regulatory sweep of how banks track workers’ communications

JPMorgan in Talks to Pay $200 Million Fine Over Employee Text Messages<blockquote>摩根大通正在谈判因员工短信支付2亿美元罚款</blockquote>

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{"i18n":{"language":"zh_CN"},"data":{"magic":2,"id":604413098,"tweetId":"604413098","gmtCreate":1639438104245,"gmtModify":1639438269670,"author":{"id":3573197870935019,"idStr":"3573197870935019","authorId":3573197870935019,"authorIdStr":"3573197870935019","name":"Albaakbert","avatar":"https://static.tigerbbs.com/38fb1a202f211aaf65a6b491072b884f","vip":1,"userType":1,"introduction":"","boolIsFan":false,"boolIsHead":false,"crmLevel":11,"crmLevelSwitch":0,"individualDisplayBadges":[],"fanSize":43,"starInvestorFlag":false},"themes":[],"images":[],"coverImages":[],"extraTitle":"","html":"<html><head></head><body>[Miser]&nbsp;[What]&nbsp;[What]&nbsp; </body></html>","htmlText":"<html><head></head><body>[Miser]&nbsp;[What]&nbsp;[What]&nbsp; </body></html>","text":"[Miser] [What] [What]","highlighted":1,"essential":1,"paper":1,"likeSize":3,"commentSize":0,"repostSize":0,"favoriteSize":0,"link":"https://laohu8.com/post/604413098","repostId":1159967132,"repostType":4,"repost":{"id":"1159967132","kind":"news","pubTimestamp":1639437232,"share":"https://www.laohu8.com/m/news/1159967132?lang=zh_CN&edition=full","pubTime":"2021-12-14 07:13","market":"us","language":"en","title":"JPMorgan in Talks to Pay $200 Million Fine Over Employee Text Messages<blockquote>摩根大通正在谈判因员工短信支付2亿美元罚款</blockquote>","url":"https://stock-news.laohu8.com/highlight/detail?id=1159967132","media":"The Wall Street Journal","summary":"Settlement would be first to emerge from regulatory sweep of how banks track workers’ communications","content":"Settlement would be first to emerge from regulatory sweep of how banks track workers’ communications<blockquote>和解将是对银行如何跟踪员工通讯的监管扫荡中最先出现的和解</blockquote> <img src=\"https://static.tigerbbs.com/e9197415b34553203119cad13541a5ef\" tg-width=\"1290\" tg-height=\"860\" width=\"100%\" height=\"auto\">JPMorgan has faced federal record-keeping probes over the bank’s handling of employees’ messages, people familiar with the matter said.<blockquote>知情人士称，摩根大通因该行处理员工信息的方式而面临联邦记录保存调查。</blockquote> JPMorgan Chase &amp; Co. is nearing a deal to pay a $200 million fine and admit that it failed to properly monitor employees’ messages, the first settlement to emerge from a regulatory sweep into how banks oversee traders’ chats.<blockquote>摩根大通(JPMorgan Chase&amp;Co.)即将达成协议，支付2亿美元的罚款，并承认未能适当监控员工的信息，这是监管机构对银行如何监督交易员聊天进行审查后达成的首个和解。</blockquote> The investigations by the Securities and Exchange Commission and Commodity Futures Trading Commission focused on concerns that the bank didn’t have an adequate system for retaining the chats, according to people familiar with the matter. Banks are supposed to retain employees’ communications, particularly those related to customer dealings, and provide the information to regulators when requested.<blockquote>据知情人士透露，美国证券交易委员会和商品期货交易委员会的调查重点是担心该银行没有足够的系统来保留聊天记录。银行应保留员工的通信，特别是与客户交易相关的通信，并应要求向监管机构提供信息。</blockquote> The nation’s biggest bank is expected to complete the settlement as soon as this week, some of the people said.<blockquote>一些知情人士称，美国最大的银行预计最快将于本周完成和解。</blockquote> Banks are required to record their employees’ work-related phone calls, emails and text messages. Those rules apply to communications on both company-issued devices and personal cellphones. Monitoring communications became more challenging during the pandemic when many bank employees began working from home.<blockquote>银行被要求记录员工与工作相关的电话评级、电子邮件和短信。这些规则适用于公司发行的设备和个人手机上的通信。在疫情期间，当许多银行员工开始在家工作时，监控通信变得更具挑战性。</blockquote> In recent months, regulators have questioned a number of big banks, including Bank of America Corp.,Citigroup&nbsp;Inc.,Morgan Stanley and&nbsp;Credit Suisse Group&nbsp;AG, about how they track employee communications, some of the people said. The status of that regulatory effort, and whether other entities would face fines, couldn’t be determined.<blockquote>一些知情人士称，近几个月来，监管机构就美国银行、花旗集团、摩根士丹利和瑞士信贷集团等多家大银行如何跟踪员工通讯提出了质疑。该监管工作的状况以及其他实体是否会面临罚款尚无法确定。</blockquote> Bloomberg&nbsp;earlier reported&nbsp;JPMorgan’s pending settlement. The broader regulatory inquiry was&nbsp;earlier reported&nbsp;by Reuters.<blockquote>彭博社早些时候报道了摩根大通悬而未决的和解协议。路透社早些时候报道了更广泛的监管调查。</blockquote> Many banks allow employees to use personal devices for work purposes but instruct bankers and traders to limit their use of text messaging and to refrain from discussing certain matters.<blockquote>许多银行允许员工出于工作目的使用个人设备，但指示银行家和交易员限制他们使用短信，并避免讨论某些事项。</blockquote> The SEC deal would be the first to involve an admission of misconduct since agency officials said in October that they would&nbsp;deviate from “no admit, no deny” settlements&nbsp;in some cases. It couldn’t be learned whether the CFTC would also require the bank to admit fault.<blockquote>自该机构官员10月份表示，在某些情况下，他们将偏离“不承认，不否认”的和解协议以来，SEC的交易将是第一笔涉及承认不当行为的交易。目前尚不清楚CFTC是否也会要求该银行承认错误。</blockquote> A $200 million fine is large for a record-keeping violation. Such investigations are often conducted by the Financial Industry Regulatory Authority, a self-regulatory organization overseen by the SEC, according to securities lawyers.<blockquote>对于违反记录的行为来说，2亿美元的罚款是很大的。证券律师表示，此类调查通常由金融业监管局进行，这是一个受美国证券交易委员会监管的自律组织。</blockquote> In December 2020,Deutsche Bank&nbsp;AG’sU.S. broker-dealer paid $2.5 million to&nbsp;resolve a Finra investigation&nbsp;that alleged the company didn’t have the proper system for implementing the SEC’s record-keeping rule. Deutsche Bank Securities Inc. neither admitted nor denied Finra’s allegations.<blockquote>2020年12月，德意志银行美国。经纪自营商支付了250万美元来解决Finra的一项调查，该调查指控该公司没有适当的系统来实施SEC的记录保存规则。德意志银行证券公司既没有承认也没有否认Finra的指控。</blockquote> JPMorgan has said previously that it was cooperating with regulators investigating “business communications sent over electronic messaging channels that have not been approved” by the bank. The company said last month that it was in advanced settlement discussions.<blockquote>摩根大通此前曾表示，它正在与监管机构合作，调查“通过未经该行批准的电子消息渠道发送的商业通信”。该公司上个月表示，正在进行高级和解讨论。</blockquote>","collect":0,"html":"<!DOCTYPE html>\n<html>\n<head>\n<meta http-equiv=\"Content-Type\" content=\"text/html; charset=utf-8\" />\n<meta name=\"viewport\" content=\"width=device-width,initial-scale=1.0,minimum-scale=1.0,maximum-scale=1.0,user-scalable=no\"/>\n<meta name=\"format-detection\" content=\"telephone=no,email=no,address=no\" />\n<title>JPMorgan in Talks to Pay $200 Million Fine Over Employee Text Messages<blockquote>摩根大通正在谈判因员工短信支付2亿美元罚款</blockquote></title>\n<style type=\"text/css\">\na,abbr,acronym,address,applet,article,aside,audio,b,big,blockquote,body,canvas,caption,center,cite,code,dd,del,details,dfn,div,dl,dt,\nem,embed,fieldset,figcaption,figure,footer,form,h1,h2,h3,h4,h5,h6,header,hgroup,html,i,iframe,img,ins,kbd,label,legend,li,mark,menu,nav,\nobject,ol,output,p,pre,q,ruby,s,samp,section,small,span,strike,strong,sub,summary,sup,table,tbody,td,tfoot,th,thead,time,tr,tt,u,ul,var,video{ font:inherit;margin:0;padding:0;vertical-align:baseline;border:0 }\nbody{ font-size:16px; line-height:1.5; color:#999; background:transparent; }\n.wrapper{ overflow:hidden;word-break:break-all;padding:10px; }\nh1,h2{ font-weight:normal; line-height:1.35; margin-bottom:.6em; }\nh3,h4,h5,h6{ line-height:1.35; margin-bottom:1em; }\nh1{ font-size:24px; }\nh2{ font-size:20px; }\nh3{ font-size:18px; }\nh4{ font-size:16px; }\nh5{ font-size:14px; }\nh6{ font-size:12px; }\np,ul,ol,blockquote,dl,table{ margin:1.2em 0; }\nul,ol{ margin-left:2em; }\nul{ list-style:disc; }\nol{ list-style:decimal; }\nli,li p{ margin:10px 0;}\nimg{ max-width:100%;display:block;margin:0 auto 1em; }\nblockquote{ color:#B5B2B1; border-left:3px solid #aaa; padding:1em; }\nstrong,b{font-weight:bold;}\nem,i{font-style:italic;}\ntable{ width:100%;border-collapse:collapse;border-spacing:1px;margin:1em 0;font-size:.9em; }\nth,td{ padding:5px;text-align:left;border:1px solid #aaa; }\nth{ font-weight:bold;background:#5d5d5d; }\n.symbol-link{font-weight:bold;}\n/* header{ border-bottom:1px solid #494756; } */\n.title{ margin:0 0 8px;line-height:1.3;color:#ddd; }\n.meta {color:#5e5c6d;font-size:13px;margin:0 0 .5em; }\na{text-decoration:none; color:#2a4b87;}\n.meta .head { display: inline-block; overflow: hidden}\n.head .h-thumb { width: 30px; height: 30px; margin: 0; padding: 0; border-radius: 50%; float: left;}\n.head .h-content { margin: 0; padding: 0 0 0 9px; float: left;}\n.head .h-name {font-size: 13px; color: #eee; margin: 0;}\n.head .h-time {font-size: 12.5px; color: #7E829C; margin: 0;}\n.small {font-size: 12.5px; display: inline-block; transform: scale(0.9); -webkit-transform: scale(0.9); transform-origin: left; -webkit-transform-origin: left;}\n.smaller {font-size: 12.5px; display: inline-block; transform: scale(0.8); -webkit-transform: scale(0.8); transform-origin: left; -webkit-transform-origin: left;}\n.bt-text {font-size: 12px;margin: 1.5em 0 0 0}\n.bt-text p {margin: 0}\n</style>\n</head>\n<body>\n<div class=\"wrapper\">\n<header>\n<h2 class=\"title\">\nJPMorgan in Talks to Pay $200 Million Fine Over Employee Text Messages<blockquote>摩根大通正在谈判因员工短信支付2亿美元罚款</blockquote>\n</h2>\n<h4 class=\"meta\">\n\nThe Wall Street Journal2021-12-14 07:13\n\n</h4>\n</header>\n<article>\nSettlement would be first to emerge from regulatory sweep of how banks track workers’ communications<blockquote>和解将是对银行如何跟踪员工通讯的监管扫荡中最先出现的和解</blockquote> <img src=\"https://static.tigerbbs.com/e9197415b34553203119cad13541a5ef\" tg-width=\"1290\" tg-height=\"860\" width=\"100%\" height=\"auto\">JPMorgan has faced federal record-keeping probes over the bank’s handling of employees’ messages, people familiar with the matter said.<blockquote>知情人士称，摩根大通因该行处理员工信息的方式而面临联邦记录保存调查。</blockquote> JPMorgan Chase &amp; Co. is nearing a deal to pay a $200 million fine and admit that it failed to properly monitor employees’ messages, the first settlement to emerge from a regulatory sweep into how banks oversee traders’ chats.<blockquote>摩根大通(JPMorgan Chase&amp;Co.)即将达成协议，支付2亿美元的罚款，并承认未能适当监控员工的信息，这是监管机构对银行如何监督交易员聊天进行审查后达成的首个和解。</blockquote> The investigations by the Securities and Exchange Commission and Commodity Futures Trading Commission focused on concerns that the bank didn’t have an adequate system for retaining the chats, according to people familiar with the matter. Banks are supposed to retain employees’ communications, particularly those related to customer dealings, and provide the information to regulators when requested.<blockquote>据知情人士透露，美国证券交易委员会和商品期货交易委员会的调查重点是担心该银行没有足够的系统来保留聊天记录。银行应保留员工的通信，特别是与客户交易相关的通信，并应要求向监管机构提供信息。</blockquote> The nation’s biggest bank is expected to complete the settlement as soon as this week, some of the people said.<blockquote>一些知情人士称，美国最大的银行预计最快将于本周完成和解。</blockquote> Banks are required to record their employees’ work-related phone calls, emails and text messages. Those rules apply to communications on both company-issued devices and personal cellphones. Monitoring communications became more challenging during the pandemic when many bank employees began working from home.<blockquote>银行被要求记录员工与工作相关的电话评级、电子邮件和短信。这些规则适用于公司发行的设备和个人手机上的通信。在疫情期间，当许多银行员工开始在家工作时，监控通信变得更具挑战性。</blockquote> In recent months, regulators have questioned a number of big banks, including Bank of America Corp.,Citigroup&nbsp;Inc.,Morgan Stanley and&nbsp;Credit Suisse Group&nbsp;AG, about how they track employee communications, some of the people said. The status of that regulatory effort, and whether other entities would face fines, couldn’t be determined.<blockquote>一些知情人士称，近几个月来，监管机构就美国银行、花旗集团、摩根士丹利和瑞士信贷集团等多家大银行如何跟踪员工通讯提出了质疑。该监管工作的状况以及其他实体是否会面临罚款尚无法确定。</blockquote> Bloomberg&nbsp;earlier reported&nbsp;JPMorgan’s pending settlement. The broader regulatory inquiry was&nbsp;earlier reported&nbsp;by Reuters.<blockquote>彭博社早些时候报道了摩根大通悬而未决的和解协议。路透社早些时候报道了更广泛的监管调查。</blockquote> Many banks allow employees to use personal devices for work purposes but instruct bankers and traders to limit their use of text messaging and to refrain from discussing certain matters.<blockquote>许多银行允许员工出于工作目的使用个人设备，但指示银行家和交易员限制他们使用短信，并避免讨论某些事项。</blockquote> The SEC deal would be the first to involve an admission of misconduct since agency officials said in October that they would&nbsp;deviate from “no admit, no deny” settlements&nbsp;in some cases. It couldn’t be learned whether the CFTC would also require the bank to admit fault.<blockquote>自该机构官员10月份表示，在某些情况下，他们将偏离“不承认，不否认”的和解协议以来，SEC的交易将是第一笔涉及承认不当行为的交易。目前尚不清楚CFTC是否也会要求该银行承认错误。</blockquote> A $200 million fine is large for a record-keeping violation. Such investigations are often conducted by the Financial Industry Regulatory Authority, a self-regulatory organization overseen by the SEC, according to securities lawyers.<blockquote>对于违反记录的行为来说，2亿美元的罚款是很大的。证券律师表示，此类调查通常由金融业监管局进行，这是一个受美国证券交易委员会监管的自律组织。</blockquote> In December 2020,Deutsche Bank&nbsp;AG’sU.S. broker-dealer paid $2.5 million to&nbsp;resolve a Finra investigation&nbsp;that alleged the company didn’t have the proper system for implementing the SEC’s record-keeping rule. Deutsche Bank Securities Inc. neither admitted nor denied Finra’s allegations.<blockquote>2020年12月，德意志银行美国。经纪自营商支付了250万美元来解决Finra的一项调查，该调查指控该公司没有适当的系统来实施SEC的记录保存规则。德意志银行证券公司既没有承认也没有否认Finra的指控。</blockquote> JPMorgan has said previously that it was cooperating with regulators investigating “business communications sent over electronic messaging channels that have not been approved” by the bank. The company said last month that it was in advanced settlement discussions.<blockquote>摩根大通此前曾表示，它正在与监管机构合作，调查“通过未经该行批准的电子消息渠道发送的商业通信”。该公司上个月表示，正在进行高级和解讨论。</blockquote>\n<div class=\"bt-text\">\n\n\n 来源：<a href=\"https://www.wsj.com/articles/jpmorgan-in-talks-to-pay-200-million-fine-over-employee-text-messages-11639424537?mod=lead_feature_below_a_pos1\">The Wall Street Journal</a>\n为提升您的阅读体验，我们对本页面进行了排版优化\n\n\n</div>\n</article>\n</div>\n</body>\n</html>\n","type":0,"thumbnail":"","relate_stocks":{"JPM":"摩根大通"},"source_url":"https://www.wsj.com/articles/jpmorgan-in-talks-to-pay-200-million-fine-over-employee-text-messages-11639424537?mod=lead_feature_below_a_pos1","is_english":true,"share_image_url":"https://static.laohu8.com/e9f99090a1c2ed51c021029395664489","article_id":"1159967132","content_text":"Settlement would be first to emerge from regulatory sweep of how banks track workers’ communications\nJPMorgan has faced federal record-keeping probes over the bank’s handling of employees’ messages, people familiar with the matter said.\nJPMorgan Chase & Co. is nearing a deal to pay a $200 million fine and admit that it failed to properly monitor employees’ messages, the first settlement to emerge from a regulatory sweep into how banks oversee traders’ chats.\nThe investigations by the Securities and Exchange Commission and Commodity Futures Trading Commission focused on concerns that the bank didn’t have an adequate system for retaining the chats, according to people familiar with the matter. Banks are supposed to retain employees’ communications, particularly those related to customer dealings, and provide the information to regulators when requested.\nThe nation’s biggest bank is expected to complete the settlement as soon as this week, some of the people said.\nBanks are required to record their employees’ work-related phone calls, emails and text messages. Those rules apply to communications on both company-issued devices and personal cellphones. Monitoring communications became more challenging during the pandemic when many bank employees began working from home.\nIn recent months, regulators have questioned a number of big banks, including Bank of America Corp.,Citigroup Inc.,Morgan Stanley and Credit Suisse Group AG, about how they track employee communications, some of the people said. The status of that regulatory effort, and whether other entities would face fines, couldn’t be determined.\nBloomberg earlier reported JPMorgan’s pending settlement. The broader regulatory inquiry was earlier reported by Reuters.\nMany banks allow employees to use personal devices for work purposes but instruct bankers and traders to limit their use of text messaging and to refrain from discussing certain matters.\nThe SEC deal would be the first to involve an admission of misconduct since agency officials said in October that they would deviate from “no admit, no deny” settlements in some cases. It couldn’t be learned whether the CFTC would also require the bank to admit fault.\nA $200 million fine is large for a record-keeping violation. Such investigations are often conducted by the Financial Industry Regulatory Authority, a self-regulatory organization overseen by the SEC, according to securities lawyers.\nIn December 2020,Deutsche Bank AG’sU.S. broker-dealer paid $2.5 million to resolve a Finra investigation that alleged the company didn’t have the proper system for implementing the SEC’s record-keeping rule. Deutsche Bank Securities Inc. neither admitted nor denied Finra’s allegations.\nJPMorgan has said previously that it was cooperating with regulators investigating “business communications sent over electronic messaging channels that have not been approved” by the bank. The company said last month that it was in advanced settlement discussions.","news_type":1,"symbols_score_info":{"JPM":0.9}},"isVote":1,"tweetType":1,"viewCount":2766,"commentLimit":10,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"symbols":[],"verified":2,"subType":0,"readableState":1,"langContent":"CN","currentLanguage":"CN","warmUpFlag":false,"orderFlag":false,"shareable":true,"causeOfNotShareable":"","featuresForAnalytics":[],"commentAndTweetFlag":false,"andRepostAutoSelectedFlag":false,"upFlag":false,"length":19,"xxTargetLangEnum":"ZH_CN"},"commentList":[],"hasMoreComment":false,"orderType":2}