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MassMutual

争议事件

以下收录公开来源中与该品牌相关的争议事件。列出一条并不表示过错已经证实。

返回词条共 3 条

  1. 2021

    MassMutual因员工交易监管问题被罚款

    罚款或处罚

    州监管机构通过同意令对MassMutual处以400万美元罚款。该处罚涉及公司未能充分监督员工Keith Gill与GameStop股票交易相关的活动。根据同意令，该公司既未承认也未否认相关调查结论。

    州监管机构通过同意令对MassMutual处以400万美元罚款，原因是其未能充分监督员工Keith Gill与GameStop股票交易相关的活动。该公司既未承认也未否认相关调查结论。

    来源摘录

    • The company neither admitted to nor denied the findings, but it agreed to the fine and to various compliance measures.
    • MassMutual has been fined $4 million dollars as part of a consent order with state regulators in connection with Wilmington trader Keith Gill's Gamestop stock trading and advocacy.
    • According to the settlement, MassMutual failed to sufficiently supervise Gill's activities around the Gamestop stock.
    来源

  2. 2021

    MassMutual监管和解

    和解

    马萨诸塞州监管机构宣布与MassMutual达成和解，对该公司罚款400万美元，并责令其全面改革社交媒体政策。监管机构指称，该公司未能监督一名员工，也未能监控员工的社交媒体活动和个人交易。MassMutual既未承认也未否认监管机构的调查结果。

    马萨诸塞州监管机构宣布与MassMutual达成和解，因指称其未能监督一名员工并监控员工的社交媒体活动和个人交易，对其罚款400万美元并要求其全面改革社交媒体政策。MassMutual既未承认也未否认监管机构的调查结果。

    来源摘录

    • In the settlement, MassMutual neither admitted nor denied state regulators' findings.
    • NEW YORK – Massachusetts regulators are fining MassMutual $4 million and ordering it to overhaul its social-media policies after accusing the company of failing to supervise an employee whose online cheerleading of GameStop's stock helped launch the frenzy that shook Wall Street earlier this year.
    • The settlement announced Thursday by Secretary of the Commonwealth William Galvin centers on the actions of Keith Gill, who was an employee at a MassMutual subsidiary from April 2019 until January 2021.
    来源

  3. 2021

    MassMutual同意支付475万美元罚款

    罚款或处罚

    马萨诸塞州证券监管机构因MassMutual涉嫌未能监督代理人Keith Gill而对其处以400万美元罚款，并因未为478名经纪交易商代理人办理注册另处以75万美元罚款。MassMutual同意支付罚款，但未承认或否认相关认定。

    品牌回应

    • 调查 — MassMutual

      Without admitting or denying the findings, MassMutual has agreed to the fine and to undergo an independent compliance review of its social media and personal trading policies for broker-dealer representatives.

    • 持续披露 — MassMutual

      The firm will also be subject to a three-year compliance audit.

    来源摘录

    • Without admitting or denying the findings, MassMutual has agreed to the fine and to undergo an independent compliance review of its social media and personal trading policies for broker-dealer representatives.
    • The firm will also be subject to a three-year compliance audit.
    • In a separate consent order, Galvin has also demanded MassMutual seek registration of 478 brokers and pay a $750,000 administrative fine.
    来源