Compliance Risk Concepts: Senior Compliance Consultants & Executives.
Menu
close

Tag: Electronic Recordkeeping

SEC Recordkeeping Enforcement Continues to Result in Large Penalties for Off-Channel Communications

The list of firms that have been charged in less than 12 months with recordkeeping […]

Read More
Broker-Dealer Regulatory Update: Amended Electronic Recordkeeping Requirements

On October 12, 2022, the SEC adopted amendments to the electronic recordkeeping, prompt production of […]

Read More

CRC NEWSLETTER

Stay updated with all latest updates,upcoming events & much more.

Subscribe NowSupport
Copyright Compliance Risk Concepts | All Rights Reserved © 2023 | Privacy Policy
magnifier