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SEC And CFTC Crackdown On Use Of Personal Messaging Platforms Raises Compliance Concerns – And Opportunities - Finance and Banking - Vimarsana News

SEC And CFTC Crackdown On Use Of Personal Messaging Platforms Raises Compliance Concerns – And Opportunities - Finance and Banking

Published: March 18, 2022

Recent disclosures by several of the world's largest financial institutions indicate that the Securities and Exchanges Commission's (SEC) and Commodity Futures Trading Commission's (CFTC) ...

Source: mondaq.com
Related Topics:
Department Of JusticeInvestment ManagementInternal Investigations TeamsCommodity Futures TradingExchange ActAdditional EnforcementClose ComplianceSec And Cftc Crackdown On Use Of Personal Messaging Platforms Raises Compliance Concerns X2013 OpportunitiesCorporate Commercial LawCorporate And Company LawFinance And BankingCommodities Derivatives Stock ExchangesFinancial Services
SEC and CFTC Crackdown on Use of Personal Messaging Platforms Raises Compliance Concerns – and Opportunities | Alston & Bird - Vimarsana News

SEC and CFTC Crackdown on Use of Personal Messaging Platforms Raises Compliance Concerns – and Opportunities | Alston & Bird

Published: March 17, 2022

Using personal devices and messaging platforms may be convenient (and ubiquitous), but it may run afoul of federal records retention rules. Our Investment Management, Trading & Markets...

Source: jdsupra.com
Related Topics:
Commodity Futures Trading CommissionExchanges CommissionDepartment Of JusticeInvestment ManagementWhite CollarInternal Investigations TeamsExchange ActAdditional EnforcementClose Compliance