Books and Records

This settlement recites "systemic compliance failures" tied to Barclays acquisition of Lehman Brothers. It includes books and records failures that prevented Barclays from identifying its ...

Odds are that within three feet of where you are lies your cell phone or other mobile device. These tools have become ubiquitous. It’s tempting ...

This is a books and records rule that affect broker-dealers

One lesson shines brightly from advisers who encountered incidents prompting implementation of their business continuity plan: dump the phone tree.It's common for advisers to have ...

You have to go back more than one year to when we first told you about a new CFTCrule that would require commodity trading advisers ...

Click here to open a Word document. This is an example of a conflicts questionnaire. It comes from a peer. The firm would have staff ...

Here are several examples of e-mail disclaimers contributed from some of your peers.