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The asset manager is the latest in a list of financial firms under the regulator’s scrutiny. Earlier this week, Wells Fargo (NYSE:WFC) said U.S. regulators were investigating the bank’s retention of employee communications over “unapproved” messaging tools.
The SEC and the Commodity Futures Trading Commission (CFTC) fined 16 financial firms last year, a combined $1.8 billion after it was found that their employees had discussed deals on personal devices and apps.
