FINRA identified the modern workplace as an initial area of focus for its latest review, asking for specific comments from member firms.
SEA 1934 Rule 17a-4(b)(4)
Disciplinary decisions issued September 15 – 21, 2023.
JPMorgan must pay a $4m penalty for mistakenly deleting emails, some of which had subsequently been requested in regulatory investigations.
SEC and CFTC charge HSBC and Scotia Capital with recordkeeping failures using off-channel comms.
Disciplinary decisions issued March 24 – 30, 2023.
Examples include breaches over recordkeeping, supervision of personal messaging and conflicts of interest.