Recordkeeping Failures News Today

Though many, if not most, of the measures implemented to address the COVID pandemic have since been rolled back, the transition from fully in-person to remote and hybrid work environments appears to be here to stay.

On February 9, 2024, the Securities and Exchange Commission (SEC) announced charges against five broker-dealers, seven dually registered broker-dealers and investment advisers...

Ephemeral communications was at the heart of the regulators’ recent groundbreaking $1.8 billion settlement involving some of the biggest names on Wall Street. This settlement came on the heels of an SEC enforcement action for JP Morgan’s recordkeeping failures.