美国证券交易委员会（SEC）昨天（周一）宣布，十二家主要金融公司将因未能妥善维护和保存电子通信记录而支付超过6300万美元的罚款。

这标志着该监管机构对华尔街沟通行为的持续打击中的又一次重大执法行动。

SEC对华尔街公司处以6300万美元罚款

Blackstone在处罚名单中名列前茅，其三家实体同意支付1200万美元，其次是KKR支付1100万美元，Charles Schwab支付1000万美元。此次执法行动针对的是九名投资顾问和三名经纪交易商，他们都承认违反了联邦证券法的记录保存条款。

“为了有效履行监督职责，委员会的审查和执行部门必须而且确实严重依赖遵守联邦证券法账簿和记录要求的注册人，”美国证券交易委员会执行部门代理主任Sanjay Wadhwa表示。

“When firms fall short of those obligations Obligations In finance, an obligation is a financial responsibility where the terms of a contract must be met. Should an obligation between parties fail then the party who is at default may face legal action. In this scenario, the guilty party will not only have to agree to pay the set amount to fulfill the contractual arrangement but may also be responsible for covering all legal proceedings cost. Routine payments or outstanding debt of any kind are considered financial obligations, so if someone owes you In finance, an obligation is a financial responsibility where the terms of a contract must be met. Should an obligation between parties fail then the party who is at default may face legal action. In this scenario, the guilty party will not only have to agree to pay the set amount to fulfill the contractual arrangement but may also be responsible for covering all legal proceedings cost. Routine payments or outstanding debt of any kind are considered financial obligations, so if someone owes you Read this Term, the consequences go far beyond deficient document productions; such failures implicate the transparency and the integrity of the markets and their participants, like the firms at issue here.”

调查显示，各级当局人员广泛使用未经授权的通信渠道，包括消息应用程序和个人设备。这让人想起几年前的“银行卡特尔”案件，当时使用未经授权的聊天平台进行信息交换操纵汇率。

高级管理人员和主管参与了这些“渠道外沟通”，根据联邦证券法，这些沟通本应受到监控和存档。

PJT Partners主动向SEC披露其违规行为，因自我报告而获得了重要荣誉，并将支付60万美元的较低罚款。其他面临处罚的主要公司包括阿波罗资本管理公司和凯雷投资管理公司，两家公司都同意支付850万美元。

Wadhwa补充道：“在今天的行动中，委员会在要求公司对其记录保存失败负责的同时，再次承认并赞扬了注册人的自我报告，再次表明积极主动的合作可以获得切实的好处。”

作为和解协议的一部分，所有公司都承认自己的违规行为，并承诺加强其合规政策和程序。美国证券交易委员会的命令要求这些公司停止并停止未来的违规行为，并包括谴责和罚款。

“记录保存失败”

This enforcement action continues the SEC's aggressive stance on communication compliance Compliance In finance, banking, investing, and insurance compliance refers to following the rules or orders set down by the government regulatory authority, either as providing a service or processing a transaction. Compliance concerning finance would also be a state of being following established guidelines or specifications. This designation can also encompass efforts to ensure that organizations are abiding by both industry regulations and government legislation. Understanding ComplianceCompliance is a In finance, banking, investing, and insurance compliance refers to following the rules or orders set down by the government regulatory authority, either as providing a service or processing a transaction. Compliance concerning finance would also be a state of being following established guidelines or specifications. This designation can also encompass efforts to ensure that organizations are abiding by both industry regulations and government legislation. Understanding ComplianceCompliance is a Read this Term and recordkeeping, emphasizing the regulator's focus on maintaining proper documentation of business-related communications across all platforms.

同一天，美国证券交易委员会对Robinhood处以4500万美元罚款，以解决一系列指控，包括违反记录保存规定。监管机构表示，Robinhood未能解决几个关键的合规问题，例如调查可疑交易、实施针对身份盗窃的保障措施、降低网络安全风险、保护电子通信以及维护核心运营数据库。该公司还因未能与经纪客户保持一些沟通而被指。

8月，美国证券交易委员会采取了类似的执法行动，对26家华尔街公司因与渠道外通信相关的违规行为处以近4亿美元的罚款。

该公司名单包括Ameriprise Financial Services、Edward D.琼斯公司，LPL Financial和Raymond James & Associates均同意支付5000万美元的罚款。其他值得注意的处罚包括加拿大皇家银行资本市场（RBC Capital Markets）的4500万美元以及纽约梅隆证券公司（BNY Mellon Securities Corporation）和潘兴有限责任公司（Pershing LLC）的总计4000万美元。

美国证券交易委员会（SEC）昨天（周一）宣布，十二家主要金融公司将因未能妥善维护和保存电子通信记录而支付超过6300万美元的罚款。

这标志着该监管机构对华尔街沟通行为的持续打击中的又一次重大执法行动。

SEC对华尔街公司处以6300万美元罚款

Blackstone在处罚名单中名列前茅，其三家实体同意支付1200万美元，其次是KKR支付1100万美元，Charles Schwab支付1000万美元。此次执法行动针对的是九名投资顾问和三名经纪交易商，他们都承认违反了联邦证券法的记录保存条款。

“为了有效履行监督职责，委员会的审查和执行部门必须而且确实严重依赖遵守联邦证券法账簿和记录要求的注册人，”美国证券交易委员会执行部门代理主任Sanjay Wadhwa表示。

“When firms fall short of those obligations Obligations In finance, an obligation is a financial responsibility where the terms of a contract must be met. Should an obligation between parties fail then the party who is at default may face legal action. In this scenario, the guilty party will not only have to agree to pay the set amount to fulfill the contractual arrangement but may also be responsible for covering all legal proceedings cost. Routine payments or outstanding debt of any kind are considered financial obligations, so if someone owes you In finance, an obligation is a financial responsibility where the terms of a contract must be met. Should an obligation between parties fail then the party who is at default may face legal action. In this scenario, the guilty party will not only have to agree to pay the set amount to fulfill the contractual arrangement but may also be responsible for covering all legal proceedings cost. Routine payments or outstanding debt of any kind are considered financial obligations, so if someone owes you Read this Term, the consequences go far beyond deficient document productions; such failures implicate the transparency and the integrity of the markets and their participants, like the firms at issue here.”

调查显示，各级当局人员广泛使用未经授权的通信渠道，包括消息应用程序和个人设备。这让人想起几年前的“银行卡特尔”案件，当时使用未经授权的聊天平台进行信息交换操纵汇率。

高级管理人员和主管参与了这些“渠道外沟通”，根据联邦证券法，这些沟通本应受到监控和存档。

PJT Partners主动向SEC披露其违规行为，因自我报告而获得了重要荣誉，并将支付60万美元的较低罚款。其他面临处罚的主要公司包括阿波罗资本管理公司和凯雷投资管理公司，两家公司都同意支付850万美元。

Wadhwa补充道：“在今天的行动中，委员会在要求公司对其记录保存失败负责的同时，再次承认并赞扬了注册人的自我报告，再次表明积极主动的合作可以获得切实的好处。”

作为和解协议的一部分，所有公司都承认自己的违规行为，并承诺加强其合规政策和程序。美国证券交易委员会的命令要求这些公司停止并停止未来的违规行为，并包括谴责和罚款。

“记录保存失败”

This enforcement action continues the SEC's aggressive stance on communication compliance Compliance In finance, banking, investing, and insurance compliance refers to following the rules or orders set down by the government regulatory authority, either as providing a service or processing a transaction. Compliance concerning finance would also be a state of being following established guidelines or specifications. This designation can also encompass efforts to ensure that organizations are abiding by both industry regulations and government legislation. Understanding ComplianceCompliance is a In finance, banking, investing, and insurance compliance refers to following the rules or orders set down by the government regulatory authority, either as providing a service or processing a transaction. Compliance concerning finance would also be a state of being following established guidelines or specifications. This designation can also encompass efforts to ensure that organizations are abiding by both industry regulations and government legislation. Understanding ComplianceCompliance is a Read this Term and recordkeeping, emphasizing the regulator's focus on maintaining proper documentation of business-related communications across all platforms.

同一天，美国证券交易委员会对Robinhood处以4500万美元罚款，以解决一系列指控，包括违反记录保存规定。监管机构表示，Robinhood未能解决几个关键的合规问题，例如调查可疑交易、实施针对身份盗窃的保障措施、降低网络安全风险、保护电子通信以及维护核心运营数据库。该公司还因未能与经纪客户保持一些沟通而被指。

8月，美国证券交易委员会采取了类似的执法行动，对26家华尔街公司因与渠道外通信相关的违规行为处以近4亿美元的罚款。

该公司名单包括Ameriprise Financial Services、Edward D.琼斯公司，LPL Financial和Raymond James & Associates均同意支付5000万美元的罚款。其他值得注意的处罚包括加拿大皇家银行资本市场（RBC Capital Markets）的4500万美元以及纽约梅隆证券公司（BNY Mellon Securities Corporation）和潘兴有限责任公司（Pershing LLC）的总计4000万美元。