Beware of Messaging App Crackdown on Wall Street
Audit, Broker Dealer, CFTC, Commodity Futures Trading Commission, Futures, SEC, Securities and Exchange Commission, Supervisory, Swaps, Wall Street
October 5, 2022
On Sept. 27 the Securities and Exchange Commission and the Commodity Futures Trading Commission collectively announced a combined $1.8 billion in fines against more than two dozen Wall Street firms for failing to maintain and preserve electronic communications. The charges stem from record-keeping failures and use of unapproved communication methods, ...Read More