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2021-12-14
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JPMorgan in Talks to Pay $200 Million Fine Over Employee Text Messages<blockquote>摩根大通正在谈判就员工短信支付 2 亿美元罚款</blockquote>
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{"i18n":{"language":"zh_CN"},"detailType":1,"isChannel":false,"data":{"magic":2,"id":604439560,"tweetId":"604439560","gmtCreate":1639437376879,"gmtModify":1639437378219,"author":{"id":3571345352614779,"idStr":"3571345352614779","authorId":3571345352614779,"authorIdStr":"3571345352614779","name":"小白添祥","avatar":"https://static.laohu8.com/default-avatar.jpg","vip":1,"userType":1,"introduction":"","boolIsFan":false,"boolIsHead":false,"crmLevel":11,"crmLevelSwitch":0,"individualDisplayBadges":[],"wearingBadges":[],"fanSize":136,"starInvestorFlag":false},"themes":[],"images":[],"coverImages":[],"title":"","extraTitle":"","html":"<html><head></head><body><p>like & comment please </p></body></html>","htmlText":"<html><head></head><body><p>like & comment please </p></body></html>","text":"like & comment please","highlighted":1,"essential":1,"paper":1,"likeSize":2,"commentSize":0,"repostSize":0,"favoriteSize":0,"link":"https://laohu8.com/post/604439560","repostId":1159967132,"repostType":4,"repost":{"id":"1159967132","kind":"news","pubTimestamp":1639437232,"share":"https://www.laohunote.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>摩根大通正在谈判就员工短信支付 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":"<p>Settlement would be first to emerge from regulatory sweep of how banks track workers’ communications</p><p><blockquote>在对银行如何跟踪员工沟通进行监管扫描时，和解将首先出现</blockquote></p><p> <p class=\"t-img-caption\"><img src=\"https://static.tigerbbs.com/e9197415b34553203119cad13541a5ef\" tg-width=\"1290\" tg-height=\"860\" width=\"100%\" height=\"auto\"><span>JPMorgan has faced federal record-keeping probes over the bank’s handling of employees’ messages, people familiar with the matter said.</span></p><p><blockquote><p class=\"t-img-caption\"><span>知情人士称，摩根大通因处理员工信息而面临联邦记录保存调查。</span></p></blockquote></p><p> JPMorgan 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.</p><p><blockquote>摩根大通公司（JPMorgan Chase & Co.</blockquote></p><p> 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.</p><p><blockquote>据熟悉内情的人士透露，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。银行应该保留员工的通讯，尤其是与客户交易有关的通讯，并在监管机构要求时向其提供这些信息。</blockquote></p><p> The nation’s biggest bank is expected to complete the settlement as soon as this week, some of the people said.</p><p><blockquote>一些人士说，美国最大的银行预计最快将于本周完成和解。</blockquote></p><p> 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.</p><p><blockquote>银行必须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></p><p> In 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.</p><p><blockquote>一些知情人士表示，近几个月来，监管机构对包括美国银行、花旗集团、摩根士丹利和瑞士信贷集团在内的多家大银行追踪员工沟通的方式提出了质疑。这项监管工作的现状，以及其他实体是否会面临罚款，都无法确定。</blockquote></p><p> Bloomberg earlier reported JPMorgan’s pending settlement. The broader regulatory inquiry was earlier reported by Reuters.</p><p><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></p><p> 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.</p><p><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使用短信，并避免讨论某些事项。</blockquote></p><p> The 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.</p><p><blockquote>自美国证券交易委员会官员在 10 月份表示，他们将在某些情况下偏离 “不承认，不否认 ”的和解协议以来，美国证券交易委员会的这项协议将是第一个涉及承认不当行为的协议。目前尚不清楚美国商品期货交易委员会是否也会要求该银行承认错误。</blockquote></p><p> 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.</p><p><blockquote>对于违反记录保存规定的行为，2亿美元的罚款是一笔巨款。证券律师表示，此类调查通常由金融业监管局进行，该机构是由美国证券交易委员会监管的自律组织。</blockquote></p><p> In 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.</p><p><blockquote>2020年12月，德意志银行在美国经纪交易商支付了 250 万美元，以解决 Finra 的一项调查，该调查指控该公司没有适当的系统来执行美国证券交易委员会的记录保存规则。德意志银行证券公司既不承认也不否认 Finra 的指控。</blockquote></p><p> 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.</p><p><blockquote>摩根大通此前曾表示，它正在配合监管机构调查 “未经银行批准的通过电子信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></p><p></p>","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>摩根大通正在谈判就员工短信支付 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>摩根大通正在谈判就员工短信支付 2 亿美元罚款</blockquote>\n</h2>\n<h4 class=\"meta\">\n<p class=\"head\">\n<strong class=\"h-name small\">The Wall Street Journal</strong><span class=\"h-time small\">2021-12-14 07:13</span>\n</p>\n</h4>\n</header>\n<article>\n<p>Settlement would be first to emerge from regulatory sweep of how banks track workers’ communications</p><p><blockquote>在对银行如何跟踪员工沟通进行监管扫描时，和解将首先出现</blockquote></p><p> <p class=\"t-img-caption\"><img src=\"https://static.tigerbbs.com/e9197415b34553203119cad13541a5ef\" tg-width=\"1290\" tg-height=\"860\" width=\"100%\" height=\"auto\"><span>JPMorgan has faced federal record-keeping probes over the bank’s handling of employees’ messages, people familiar with the matter said.</span></p><p><blockquote><p class=\"t-img-caption\"><span>知情人士称，摩根大通因处理员工信息而面临联邦记录保存调查。</span></p></blockquote></p><p> JPMorgan 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.</p><p><blockquote>摩根大通公司（JPMorgan Chase & Co.</blockquote></p><p> 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.</p><p><blockquote>据熟悉内情的人士透露，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。银行应该保留员工的通讯，尤其是与客户交易有关的通讯，并在监管机构要求时向其提供这些信息。</blockquote></p><p> The nation’s biggest bank is expected to complete the settlement as soon as this week, some of the people said.</p><p><blockquote>一些人士说，美国最大的银行预计最快将于本周完成和解。</blockquote></p><p> 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.</p><p><blockquote>银行必须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></p><p> In 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.</p><p><blockquote>一些知情人士表示，近几个月来，监管机构对包括美国银行、花旗集团、摩根士丹利和瑞士信贷集团在内的多家大银行追踪员工沟通的方式提出了质疑。这项监管工作的现状，以及其他实体是否会面临罚款，都无法确定。</blockquote></p><p> Bloomberg earlier reported JPMorgan’s pending settlement. The broader regulatory inquiry was earlier reported by Reuters.</p><p><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></p><p> 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.</p><p><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使用短信，并避免讨论某些事项。</blockquote></p><p> The 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.</p><p><blockquote>自美国证券交易委员会官员在 10 月份表示，他们将在某些情况下偏离 “不承认，不否认 ”的和解协议以来，美国证券交易委员会的这项协议将是第一个涉及承认不当行为的协议。目前尚不清楚美国商品期货交易委员会是否也会要求该银行承认错误。</blockquote></p><p> 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.</p><p><blockquote>对于违反记录保存规定的行为，2亿美元的罚款是一笔巨款。证券律师表示，此类调查通常由金融业监管局进行，该机构是由美国证券交易委员会监管的自律组织。</blockquote></p><p> In 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.</p><p><blockquote>2020年12月，德意志银行在美国经纪交易商支付了 250 万美元，以解决 Finra 的一项调查，该调查指控该公司没有适当的系统来执行美国证券交易委员会的记录保存规则。德意志银行证券公司既不承认也不否认 Finra 的指控。</blockquote></p><p> 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.</p><p><blockquote>摩根大通此前曾表示，它正在配合监管机构调查 “未经银行批准的通过电子信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></p><p></p>\n<div class=\"bt-text\">\n\n\n<p> 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></p>\n<p>为提升您的阅读体验，我们对本页面进行了排版优化</p>\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":4069,"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":18,"subscribersOnly":false,"subscribersOnlyAccessible":false,"xxTargetLangEnum":"ZH_CN"},"commentList":[],"isCommentEnd":true,"isTiger":false,"isWeiXinMini":false,"url":"/m/post/604439560"}
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