Recordkeeping

Kadas spoke of AI’s ability to identify more relevant communications, and further investigations that someone at the bank would need to perform.

CFTC found trader also made false or misleading statements about removing texts and messages relevant and material to the regulator’s investigation.

The Commission has proposed updates to registered transfer agent regulations, seeking to align decades-old rules with electronic recordkeeping and blockchain-based securities activity.

The SEC Division of Examinations published Rule 17Ad-17 examination results for registrants to consider when assessing compliance.

The agency is the latest to drop the doctrine pursuant to a 2025 Trump executive order.

The rules would let banks share some sensitive information without prior OCC approval.

The SEC will pay Coinbase $150,000 after the crypto exchange’s FOIA request revealed deleted agency texts.

The records and information management expert talks about how energy firms and other highly regulated businesses create, maintain, and legally dispose of records throughout their lifecycle.