Books and Records

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

"Some commenters suggested that the SEC provide even greater flexibility by imposing only a high-level requirement for “appropriate systems and controls.” However, we must be able ...