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Securities dealers must follow recordkeeping rules says Danish FSA

The Danish Financial Supervisory Authority (Finanstilsynet) in Copenhagen, Denmark.
Photo: Ole Jensen/Getty Images

Thomas Hyrkiel

4 min read
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Thematic review points to persistent recordkeeping issues at firms stemming from inadequate controls and use of error-prone manual systems.

The review focused on three institutions, namely Danske Bank, Jyske Bank and Nykredit Bank, and had as its objective an evaluation of whether recordkeeping rules were being followed by the firms.

Specifically the Danish regulator was interested in the capture and retention of voice communications and electronic messages as well

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