Home Books and Records

Books and Records

Mature woman wasting shredded paper
A peer shares the firm's P&Ps around records destruction
Frustrated businessman hitting hammer on central processing unit in office.
A peer shares the firm's form for authorizing the destruction of firm records
Giants say they're cooperating
Two business partners sitting down at the office looking at a digital tablet and reviewing documents.
A peer grants RCW permission to share with you the firm's account review form
Young woman working on a project with colleague
Should the custody rule end up being replaced, the change would come with revisions to Advisers Act rule 204-2 (books and records) requiring you to ...
Student woman holding pile books
This is the SEC's proposed changes to the books and records rule amid its replacement of the custody rule
Industry groups warn Gensler on overreach
Enforcement Division relying on 'overly broad interpretation,' groups warn
A young man lying on the ground after slipping on a banana peel
"When any of the account information was updated in the CMS System, however, the previous recorded account information for that category was permanently overwritten and ...
The communications preservation obligation spans the likes of e-mails, instant messages, text messages, chat messages, and interactive blogs

Copyright PEI Media

Not for publication, email or dissemination