Conquering Current Compliance Challenges
May 15, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: April 10, 2019 
  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.
 

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