Books and Records

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

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 ...

Here are two examples taken from recent DOE document request letters sent to advisers by the Division of Examinations and obtained by RCW

'You’ve got to make sure that employees understand what the rules are,' expert warns

E-signatures are often used on private placement memos and subscription docs

J.P. Morgan Securities employees often communicated about securities business on their personal devices and those records were not preserved