美国证券交易委员会对摩根大通罚款1.25亿美元_老虎社区_美港股上老虎

美国证券交易委员会对摩根大通罚款1.25亿美元

央视新闻客户端2021-12-18

当地时间17日，美国证券交易委员会(SEC)宣布对投资银行摩根大通(J.P. Morgan Chase)旗下的摩根大通证券有限责任公司(J.P. Morgan Securities)处以1.25亿美元的罚款，因为其员工通过使用其他消息服务渠道讨论业务，未能履行《证券交易法》中的记录和报告要求。美国证券交易委员会表示，摩根大通证券至少在2018年1月至2020年11月期间出现了“大范围的长期失误”...

网页链接

免责声明：本文观点仅代表作者个人观点，不构成本平台的投资建议，本平台不对文章信息准确性、完整性和及时性做出任何保证，亦不对因使用或信赖文章信息引发的任何损失承担责任。

每天都赚几百
·2021-12-19
Good
回复
点赞
举报
jhanwei
·2021-12-18
[微笑]
回复
1
举报
Ysw16888
·2021-12-18
啊
回复
3
举报
Johnm
·2021-12-18
gd
回复
2
举报

热议股票

7x24

全部

关于我们·老虎社区守则·老虎社区账号管理规范·老虎社区服务协议·老虎社区隐私政策

公司名称：北京至简风宜信息技术有限公司

违法和不良信息投诉：010-5681-3562（工作时间9:30-18:30）

邮箱：service@laohu8.com

营业执照：91110105MA01A4U55R

ICP备：京ICP备18016422号

网安备：京公网安备11010502036490

关注我们

{"i18n":{"language":"zh_CN"},"data":{"share":"https://www.laohu8.com/m/news/1164873638?lang=zh_CN&edition=full","thumbnail":"https://static.tigerbbs.com/4ecccb954c9a03cd26d576ebec5c96d6","is_english":false,"pubTime":"2021-12-18 11:13","share_image_url":"https://static.laohu8.com/e9f99090a1c2ed51c021029395664489","id":"1164873638","market":"us","top_or_hot":-1,"title":"美国证券交易委员会对摩根大通罚款1.25亿美元","media":"央视新闻客户端","content":"<div>\n<p>当地时间17日，美国证券交易委员会(SEC)宣布对投资银行摩根大通(J.P. Morgan Chase)旗下的摩根大通证券有限责任公司(J.P. Morgan Securities)处以1.25亿美元的罚款，因为其员工通过使用其他消息服务渠道讨论业务，未能履行《证券交易法》中的记录和报告要求。\n美国证券交易委员会表示，摩根大通证券至少在2018年1月至2020年11月期间出现了“大范围的长期失误”...</p>\n\n<a href=\"http://www.jwview.com/jingwei/html/12-18/451173.shtml\">网页链接</a>\n\n</div>\n","source":"lsy1568181200495","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>美国证券交易委员会对摩根大通罚款1.25亿美元</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: 11px; color: #7E829C; margin: 0;line-height: 11px;}\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\">\n美国证券交易委员会对摩根大通罚款1.25亿美元\n</h2>\n\n<h4 class=\"meta\">\n\n\n2021-12-18 11:13 北京时间&nbsp;&nbsp;&nbsp;<a href=http://www.jwview.com/jingwei/html/12-18/451173.shtml><strong>央视新闻客户端</strong></a>\n\n\n</h4>\n\n</header>\n<article>\n<div>\n<p>当地时间17日，美国证券交易委员会(SEC)宣布对投资银行摩根大通(J.P. Morgan Chase)旗下的摩根大通证券有限责任公司(J.P. Morgan Securities)处以1.25亿美元的罚款，因为其员工通过使用其他消息服务渠道讨论业务，未能履行《证券交易法》中的记录和报告要求。\n美国证券交易委员会表示，摩根大通证券至少在2018年1月至2020年11月期间出现了“大范围的长期失误”...</p>\n\n<a href=\"http://www.jwview.com/jingwei/html/12-18/451173.shtml\">网页链接</a>\n\n</div>\n\n\n</article>\n</div>\n</body>\n</html>\n","isBrief":false,"type":0,"news_type":1,"symbol":"JPM","symbol_name":"摩根大通","start_time":0,"source_url":"http://www.jwview.com/jingwei/html/12-18/451173.shtml","article_id":"1164873638","we_media_id":null,"thumbnails":["https://static.tigerbbs.com/4ecccb954c9a03cd26d576ebec5c96d6"],"rights":null,"url":"https://stock-news.laohu8.com/highlight/detail?id=1164873638","pubTimestamp":1639797194,"sourceInfo":{"source_id":"lsy1568181200495","name":"央视新闻客户端"},"weMediaInfo":null,"summary":"因为其员工通过使用其他消息服务渠道讨论业务，未能履行《证券交易法》中的要求。","collect":0,"end_time":0,"defaultTopTitle":"jwview.com","property":[],"viewcount":null,"language":"zh","relate_stocks":{"JPM":"摩根大通"},"translate_title":"The US Securities and Exchange Commission fined JPMorgan Chase $125 million","themeId":null,"isJumpTheme":false,"ttsUrl":"https://static.tigerbbs.com/201e28bf6d6e9a4d35c8651525488a2b","symbols_score_info":{"JPM":0.9},"content_text":"当地时间17日，美国证券交易委员会(SEC)宣布对投资银行摩根大通(J.P. Morgan Chase)旗下的摩根大通证券有限责任公司(J.P. Morgan Securities)处以1.25亿美元的罚款，因为其员工通过使用其他消息服务渠道讨论业务，未能履行《证券交易法》中的记录和报告要求。\n美国证券交易委员会表示，摩根大通证券至少在2018年1月至2020年11月期间出现了“大范围的长期失误”，其员工、主管和经理使用通信软件、私人电邮和个人电话讨论投资业务，未能正确记录并报告其业务范围内的沟通过程，规避联邦记录法律。证券交易委员会称，摩根大通承认不当行为并同意和解协议，上交罚款。(央视记者 许弢)","kind":null,"is_publish_news":false,"is_publish_highlight":true,"is_publish_live":false,"is_publish_wemedia":null,"editions":null,"column":"","sentiment":"0","news_tag":"","news_rank":0,"symbols":[],"gpt_button":0},"commentList":[{"id":699769049,"gmtCreate":1639899597576,"gmtModify":1639904889748,"author":{"id":"4102902887722960","authorId":"4102902887722960","name":"每天都赚几百","avatar":"https://static.tigerbbs.com/a52c68e0b84d7f61c9d9ccf225bb2bb8","vip":1,"crmLevel":2,"crmLevelSwitch":0,"authorIdStr":"4102902887722960","idStr":"4102902887722960"},"htmlText":"Good","listText":"Good","text":"Good","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":0,"commentSize":0,"repostSize":0,"link":"https://laohu8.com/post/699769049","repostId":1164873638,"repostType":4,"isVote":1,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"tweetType":1,"langContent":"CN"},{"id":699257321,"gmtCreate":1639821068264,"gmtModify":1639821068339,"author":{"id":"4099234321752210","authorId":"4099234321752210","name":"jhanwei","avatar":"https://static.tigerbbs.com/94dcc95a1ac0654b55469c88be3ad768","vip":1,"crmLevel":1,"crmLevelSwitch":0,"authorIdStr":"4099234321752210","idStr":"4099234321752210"},"htmlText":"[微笑]&nbsp;","listText":"[微笑]&nbsp;","text":"[微笑]","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":1,"commentSize":0,"repostSize":0,"link":"https://laohu8.com/post/699257321","repostId":1164873638,"repostType":4,"isVote":1,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"tweetType":1,"langContent":"CN"},{"id":699259707,"gmtCreate":1639818869822,"gmtModify":1639818870413,"author":{"id":"3564911897267160","authorId":"3564911897267160","name":"Ysw16888","avatar":"https://static.tigerbbs.com/1423ff0b5d25f0f11370c91853168cc2","vip":1,"crmLevel":2,"crmLevelSwitch":0,"authorIdStr":"3564911897267160","idStr":"3564911897267160"},"htmlText":"啊","listText":"啊","text":"啊","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":3,"commentSize":0,"repostSize":0,"link":"https://laohu8.com/post/699259707","repostId":1164873638,"repostType":4,"isVote":1,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"tweetType":1,"langContent":"CN"},{"id":699292492,"gmtCreate":1639803372140,"gmtModify":1639805899595,"author":{"id":"3586224121384758","authorId":"3586224121384758","name":"Johnm","avatar":"https://static.tigerbbs.com/93c4fba34c3d41720ef28e4a521d9e1f","vip":1,"crmLevel":3,"crmLevelSwitch":0,"authorIdStr":"3586224121384758","idStr":"3586224121384758"},"htmlText":"gd","listText":"gd","text":"gd","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":2,"commentSize":0,"repostSize":0,"link":"https://laohu8.com/post/699292492","repostId":1164873638,"repostType":4,"isVote":1,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"tweetType":1,"langContent":"CN"}],"hasMoreComments":true,"newsSizeData":{"likeSize":79,"commentSize":4,"repostSize":0,"favoriteSize":1,"likeStatus":false,"favoriteStatus":false}}