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Staff at NatWest banned from using major messaging apps
Use of WhatsApp, Facebook Messenger and Skype on work devices has been prohibited by UK bank NatWest.
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SEC Chair highlights competition in capital markets in speech
Thought-provoking remarks following the speech suggest treasury market reform a key focus for the SEC, while books and record requirements remain non-negotiable.
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CFTC fines Piper Sandler for recordkeeping violations; commissioners dissent
The dissenters questioned whether the definition of “business records” has been stretched beyond usefulness.
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Atom Investors dinged for ecomms recordkeeping lapses, but no fine imposed
The firm received no penalty because of its proactive approach, swift remediation and substantial cooperation efforts with the SEC’s investigation of a third party.
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SEC charges 12 municipal advisers with recordkeeping violations
The charges relate to off-channel communications and related supervisory failures.
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SEC charges six credit rating firms for e-comms recordkeeping failures
Four of the six firms ordered to retain compliance consultants; two exempted due to extensive cooperative and remedial efforts.
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‘Widespread recordkeeping failures’ – SEC charges mean 26 firms pay more than $390m combined
Three of the firms received credit for self-reporting.
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Harassment claim puts supervision of off-channel comms in spotlight
The federal lawsuit features allegations of harassment and supervisory failures.