米証券取引委員会（SEC）と米商品先物取引委員会（CFTC）が、証券会社11社に対し、計5億4900万ドル（約790億円）の罰金を科したという記事。
みずほ証券やSMBC日興証券の米国法人も入っているそうです。
「SECの発表文によると、各社の従業員は個人端末でメッセージアプリのiMessage（アイメッセージ）やワッツアップ、シグナルなどを用いて業務に関わる通信をしたことが確認された。米国では不正行使の抑止を目的に証券会社は従業員のやりとりを保存することが義務付けられている。」
SECのプレスリリース。
SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures
Mizuho Securities USA LLCが25百万ドル、SMBC Nikko Securities America, Inc.が9百万ドルの罰金です（たぶんSECによる罰金だけで）。
The SEC’s investigation uncovered pervasive and longstanding “off-channel” communications at all 11 firms. As described in the SEC’s orders, the firms admitted that from at least 2019, their employees often communicated through various messaging platforms on their personal devices, including iMessage, WhatsApp, and Signal, about the business of their employers. The firms did not maintain or preserve the substantial majority of these off-channel communications, in violation of the federal securities laws. By failing to maintain and preserve required records, certain of the firms likely deprived the Commission of these off-channel communications in various SEC investigations. The failures involved employees at multiple levels of authority, including supervisors and senior executives.
