摩根大通(J.P.特纳&公司

2015年3月31日

h·贝克、拉萨尔圣证券和摩根大通(J.P.特纳& co .),罚款不准确的报告可能掩盖欺诈或盗窃。更多关于法律与合规顾问的专业图书馆告密者告密者是任何个人向美国证券交易委员会(SEC)提供相关原始信息可能违反联邦证券法。多德弗兰克法案建立了一个告密者计划,使美国证交会奖励个人自愿提供此类信息。托管统治及其影响在RIA的监护权客户’资金或证券,风险,个别急剧增加。206规则(4)2根据投资顾问法(更好的被称为托管统治),通过保护客户从肆无忌惮的投资者。美国金融业监管局周一警告经纪自营商,以确保他们整合报告清晰和准确的制裁后三家公司等违规行为。h·贝克,Inc .,拉萨尔圣证券,LLC和摩根大通(J.P.特纳&公司,有限责任公司都罚款425000美元,175000美元和100000美元,分别监管不足的合并报告提供给客户和其他违规行为。同时合并报告相结合的一个文档信息大多数或所有客户的金融资产,无论这些资产在哪里举行,这样的报道不取代官方客户帐户报表需要通过一个单独的进程FINRA规则和传播,FINRA表示。在例行检查,FINRA发现大量的注册代表的三家公司准备和传播整合报告与很少或没有事先审查客户的本金。“H。 Beck and J.P. Turner did not have any written procedures specifically addressing the use and supervision of consolidated reports, while LaSalle St. Securities had written procedures related to consolidated reports, it failed to enforce the procedures and did not provide proper training to its representatives regarding their use,” FINRA said. Across each firm, many registered reps utilized consolidated report systems that allowed them to enter customized values for accounts or investments “held away from the firm yet the firms' procedures did not provide safeguards, such as requiring supporting data, to verify accuracy.” Brad Bennett, FINRA’s executive vice president and chief of enforcement, said in a statement that “inadequate controls around consolidated reporting create the risk that unscrupulous representatives will provide inaccurate and misleading reports to their clients to conceal fraud and theft.” FINRA, Bennett said, “will continue to examine” for inadequate controls around consolidated reports “sanction firms that are not supervising this function properly. " H. Beck, Inc., LaSalle St. Securities and J.P. Turner neither admitted nor denied the charges, but consented to the entry of FINRA’s findings. FINRA pointed to its Regulatory Notice 10-19 , which reminds firms that consolidated reports must be clear, accurate and not misleading, and if not rigorously supervised, they can raise a number of regulatory concerns, including the potential for communicating inaccurate, confusing or misleading information to customers, lapses in supervisory controls, and the use of these reports for fraudulent or unethical purposes. The notice also stresses that if a firm is unable to adequately supervise the use of the reports, it must prohibit their dissemination and take steps to ensure that registered reps comply with the prohibition.