Recordkeeping fines and actions
A list of the institutions fined for recordkeeping failures involving at least some combination of texts, WhatsApp messages, and audio files, if not other communications formats, since September 2020.
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The rule requires firms to preserve:
Recordkeeping fines and actions
A list of the institutions fined for recordkeeping failures involving at least some combination of texts, WhatsApp messages, and audio files, if not other communications formats, since September 2020.
GRIP3 min read
16 firms agree to settle charges for off-channel comms recordkeeping lapses
More fines have been issued by the SEC for failure to preserve electronic communications.
Julie DiMauro3 min read
Eleven firms fined $711m for "evasive communications" practices
The CFTC has fined 11 Wall Street firms $711m for recordkeeping failures. Violations “well known” within firms.
Thomas Hyrkiel1 min read
Compliance
Recordkeeping fines and actions
Enforcement
16 firms agree to settle charges for off-channel comms recordkeeping lapses
Enforcement
Eleven firms fined $711m for "evasive communications" practices
FINRA alleges the firm did not fingerprint and properly screen non-registered associated persons based in foreign locations as required by its rules.
Julie DiMauro3 min read
Disciplinary decisions issued August 10 – 16, 2024.
Thomas Hyrkiel4 min read
Disciplinary decisions issued July 27 – August 2, 2024.
Thomas Hyrkiel5 min read
Disciplinary decisions issued July 20 – 26, 2024.
Thomas Hyrkiel2 min read
Disciplinary decisions issued July 6 – 12, 2024.
Thomas Hyrkiel4 min read
Disciplinary decisions issued June 29 – July 5, 2024.
Thomas Hyrkiel2 min read
Disciplinary decisions issued June 8 – 14, 2024.
Thomas Hyrkiel2 min read
Disciplinary decisions issued May 25 – 31, 2024.
Thomas Hyrkiel1 min read