HSBC and Scotiabank employees violated federal securities laws by using unauthorized communication channels like text messages and WhatsApp.
, financial regulators continue scrutinizing major traditional finance companies like HSBC and Scotiabank.
HSI agreed to pay $15 million to settle with the SEC, while Scotia Capital agreed to pay $7.5 million. Additionally, Scotia paid $15 million to settle the U.S. Commodity Futures Trading Commission charges.that the banks have failed to meet recordkeeping requirements for dealers registered with U.S. market regulators.
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