Books and Records

This matter relates to Deutsche Bank’s overvaluation of certain Leveraged Super Senior (LSS) trades during the height of the global financial crisis which resulted in misstatements ...

This May 2015 proposal from the SEC would amend Form ADV reporting, especially around separately managed accounts.

You don’t want to mess with FINRA when it comes to rule 8210 (provision of information and testimony and inspection and copying of books ) ...

This case involves an alleged scheme to lure investors to participate in a commodity pool that traded leveraged or margined retail off-exchange foreign currency (forex) ...

For small advisers constrained by tight budgets one alternative is contracting for an outsourced CCO. While such an arrangement can ultimately lead to a successful ...

The books and records rule does require a slew of items to be maintained – and shared with inquiring examiners – from “all written communications” ...

It’s right there in black and white in current SEC exam document request letters. Before arriving on-site at an advisory firm, Commission examiners are seeking ...

This fraudster allegedly received nearly $1 million from investors to trade foreign exchange (forex) in a commodity pool, by among other things, guaranteeing pool participants ...

(a) Recordkeeping by swap execution facilities, designated contract markets, derivatives clearing organizations, swap dealers, and major swap participants. Each swap execution facility, designated contract market, ...

(a) Each registered swap data repository shall, with respect to all swap data in its custody: (1) Establish and maintain a program of risk analysis ...