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Books and Records

Thousands of instant messages sent and received through reps' cell phones not captured, reviewed, retained
FINRA calling out the recent blossoming of multiple cases involving books and records violations, an exam focus
Maplelane Capital violated books and records, Reg SHO rules, SEC claims
This is the Advisers Act's books and records rule
SEC examiners will want to see evidence that you’ve compared client trades with staff personal transactions, so be sure to have 'a complete trade blotter'
The Commission has even fined firms for failing to produce e-mails when the SEC has requested them
NorthPoint Compliance grants RCW permission to share its books and records table
The modern world doesn’t make it easy for compliance officers. The proliferation of personal devices and communications options collides with the need to preserve business ...
Here are two examples taken from recent DOE document request letters sent to advisers by the Division of Examinations and obtained by RCW
'You’ve got to make sure that employees understand what the rules are,' expert warns
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