Regulatory Wrap Episode 39: $49M in SEC Fines for 6 Firms
In Regulatory Wrap for the week to September 6, Jennie Clarke discusses the continuation of SEC recordkeeping fines, with the most recent being against six agencies for $49 million.
Regulatory Wrap Episode 37: The SEC Fines 26 Firms $400M for Recordkeeping Failures
In Regulatory Wrap for the week to August 16, Aarti Agarwal covers the latest round of SEC recordkeeping failure enforcements following firm activities pointing towards possible regulatory action.
Regulatory Wrap Episode 36: ASIC’s Crackdown on Communication Risk
In Regulatory Wrap for the week to July 26, Jennie Clarke discusses ASIC’s recently defined expectations on communications risk and subsequent charges that prove its strict stance on noncompliance.
Regulatory Wrap Episode 34: FINRA Reacts to an Emerging Culture of Off-Channel Comms
In Regulatory Wrap for the week to June 28, Jennie Clarke covers FINRA’s set of fines for off-channel communications activities, underlining the consequences of improper recordkeeping and supervision.
Regulatory recordkeeping enforcement roundup: A storybook retelling
Follow the complete regulatory recordkeeping tale from initial enforcement action to present day and obtain insights analyzing the facts.
Working as Advertised – SEC Marketing Rule enforcements hit nine firms with $850,000 in fines
The SEC has charged nine RIAs with breaching its Marketing Rule by advertising ‘hypothetical performance’ to the general public. With fines totalling $850,000 the regulator is making it clear that the answer to ‘are we compliant?’ should never be a hypothetical.
Regulators throw the book at Goldman Sachs and Citigroup for recordkeeping failures
Enforcement actions from the SEC and CFTC against Citigroup and Goldman Sachs showcase that compliant recordkeeping is high on the regulatory agenda.
Setting the record straight on retention: How to appropriately capture data and fulfill regulatory requirements
It is well known that record retention is central to financial industry operations - but best-practice makes perfect. Our guide will help your organization abide by regulatory requirements and confirm data is being managed, secured, and archived.