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 * Markets
 * Financial Regulation


JPMORGAN FINED $200 MILLION OVER EMPLOYEES’ USE OF WHATSAPP AND OTHER MESSAGING
APPS


BROKERAGE ADMITS FAILURE TO MONITOR AND RECORD USE OF FORBIDDEN APPS

THE SEC’S ENFORCEMENT DIVISION STARTED INVESTIGATIONS OF OTHER BROKERAGES AFTER
SPOTTING JPMORGAN’S FAILURES, OFFICIALS SAID.

Photo: Brendan McDermid/REUTERS
By
Dave Michaels
Close


DAVE MICHAELS

 * Biography
 * @davidamichaels

Updated Dec. 17, 2021 9:31 am ET

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WASHINGTON—The brokerage arm of JPMorgan Chase & Co. on Friday agreed to pay
$200 million in fines and admit that it failed to keep track of employees’ use
of personal messaging apps that circumvented record-keeping requirements.

The Securities and Exchange Commission said its fine, $125 million, is the
largest ever for a breach of rules requiring brokerages to retain most
communications so the data can be monitored internally and made available to
regulators. The SEC said the breakdown was widespread and hindered some
enforcement investigations, which often make use of what individuals write in
emails and other messaging channels.

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