Recordkeeping

CFTC Designates Unique Product Identifier for Swaps Recordkeeping and Reporting

February 16, 2023 11:00 AM

CFTC Orders Minnesota Futures Commission Merchant to Pay $6.5 Million for Anti-Money Laundering, Risk Management, Recordkeeping, and Supervision Violations

December 20, 2022 11:00 AM

Finalization of the “Guidelines for Creating, Recordkeeping and Reporting of Transaction Information specified in Article 4(1) of the Cabinet Office Order on the Regulation of Over-the-Counter...

December 9, 2022 8:13 AM

FMA finds continuing improvements to audit quality

November 16, 2022 12:00 AM

SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers

October 26, 2022 1:00 PM

SEC Adopts Rule Amendments to Modernize How Broker-Dealers Preserve Electronic Records and Enhance the Electronic Recordkeeping Requirements for Security-Based Swap Entities

October 12, 2022 12:00 PM

CFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods

September 27, 2022 6:00 PM

SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures

September 27, 2022 5:00 PM

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