CFTC Rule 1.31
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CFTC charges CHS Hedging with audio comms recordkeeping lapses, trade issues
As a registered futures commission merchant CHS was required to make and keep these audio recordings for not less than one year.
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CFTC fines Piper Sandler for recordkeeping violations; commissioners dissent
The dissenters questioned whether the definition of “business records” has been stretched beyond usefulness.
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Misuse of off-channel apps leads to $549m in penalties from SEC, CFTC
The SEC and CFTC hand out sizable, combined penalties for recordkeeping and supervision failures relating to off-channel communications.
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HSBC and Scotia Capital charged for off-channel comms recordkeeping failures
SEC and CFTC charge HSBC and Scotia Capital with recordkeeping failures using off-channel comms.