Books and Records

These proceedings arise out of the widespread and longstanding failures of employees throughout the firms, including at senior levels, to adhere to certain of these ...

The founder directed a Deccan officer to permanently 'delete their text messages.'” Ironically, text messages helped the SEC to make its case. It’s not clear ...

The route most advisers would take to limit avenues of business communications would be via their compliance P&Ps

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

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 ...