CFTC Enforcement

CFTC audio comms recordkeeping fine sounds the bell on voice capture

A CFTC fine against a firm for recordkeeping lapses related to audio messages across multiple platforms raises flags about both voice communications capture and data governance.

$118 million in SEC and CFTC fines continues off-channel comms crackdown

The pace of regulatory enforcement action for recordkeeping failures continues to increase, as both the SEC and CFTC issue more fines for off-channel communications breaches. But two cases reinforce the benefits of self-reporting and cooperation.

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