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Books and Records

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CGMI willfully violated the recordkeeping requirements of Section 17(a) of the Exchange Act and Rule 17a-3 thereunder, which require broker-dealers to make and keep current ...
Citigroup Global has agreed to pay a $2.9M penalty for recordkeeping failures tied to expenses incurred with underwriting business
The 660-page final rule includes six new Advisers Act rules and two modifications to existing rules
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This is the SEC's proposed changes to the books and records rule amid its replacement of the custody rule
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'This is the new SEC hunting ground. And we all know why—because they can extract great revenues from it. And it’s an easy kill,' says ...
"Widespread and longstanding" e-communications retention failures result in SEC charges against 10 broker-dealers and a dual registrant
Like the SEC, the CFTC has now imposed over $1 billion in penalties for charges tied to offline communications violations
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Commission staff uncovered Respondents’ misconduct after commencing a risk-based initiative to investigate the use of off-channel and unpreserved communications at broker-dealers
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Messages sent through unapproved communications methods, such as WhatsApp and other unapproved applications on personal devices, were not monitored, subject to review or archived
Digital data flow on road with motion blur to create vision of fast speed transfer . Concept of future digital transformation , disruptive innovation and agile business methodology .
You have until Oct. 10th to comment on the SEC's proposal directed at AI-related technology and conflicts involving IAs and B-Ds

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