Conquering Current Compliance Challenges
July 10, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
CFTC: RECORDKEEPING OVERVIEW
Just as investment advisers registered with the SEC must comply with books and records requirements, so too must CFTC-registered entities abide by its books and records rule.
 
It mirrors the SEC’s in many ways. For instance, records from the most recent two years must be “readily accessible” while documents going back five years but be kept.
 
There are some differences that have challenged dual-registrants. Controversy about some of the CFTC’s requirements has caused the Commission to backtrack. For example, around the recording of swaps conversations.
 

Still have questions? Click here to share your questions with our editors.

© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US