A new frontier for recordkeeping and surveillance teams
As data comprehensiveness becomes mission critical, the intersection between recordkeeping and surveillance is more important than ever.
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.
Regulatory Wrap Episode 41: Citigroup’s Data Compliance Struggles
In Regulatory Wrap for the week to September 20, Jay Hampshire discusses another fine from SEC for recordkeeping failures in addition to other related data compliance concerns.