Recordkeeping
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CFTC issues new enforcement cooperation policy
The advisory gives market participants even more opportunity for full enforcement declinations.
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FCA puts firms on notice over anti-money-laundering shortfalls
Issues highlighted in the report include the quality of customer risk assessment, detailed practical guidance, recordkeeping, and independent second-line assurance.
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Apex and SEC battle over firm’s off-channel comms settlement
Apex argues that by applying substantially less burdensome undertakings on other similarly charged firms the SEC has breached administrative law.
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FINRA fines Benjamin Edwards $750k for ecomms recordkeeping failures
FINRA noted the case involved “at least 3,560 text messages” about firm business, including sensitive personal information and investment advice.
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FTC accuses Amazon execs of using Signal to auto-delete messages, destroy evidence
The FTC said the absence of Signal messages from Amazon discussing substantive business issues relevant to the antitrust case against the company meant those messaged had “disappeared.”
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Alternative Asset Management Roundtable: The 2026 compliance roadmap
Insights from the recent hedge funds event at Global Relay’s London offices.
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FINRA files complaint against firm for AML, ecomms recordkeeping and more
FINRA’s complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.
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OPINION: SEC3 year-end takeaways
Janaya Moscony, president of SEC3 and former SEC regulator, offers top tips and best practice learned in 2025 to navigate a frictionless 2026.