Books and Records

"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

OFG Financial Services only reviewed 0.26% of the e-mails its reps sent or received over a four-year period

These are questions DOE examiners are asking related to use of e-devices in the workplace

Regulators 'looking to send a message to the market'

Regulators don’t need to prove scienter to bring a books-and-records case. Your firm can still limit the damage from a violation. RCW talked to a ...

Goldman “only completed the newly developed ESG questionnaires for all positions after securities were already selected”

The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants

NorthPoint Compliance grants RCW permission to share its books and records table

The final rule amendments modernize electronic recordkeeping requirements for B-Ds, swap dealers, and swap participants