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For years, U.S. regulators threatened to crack down on the alleged breaches of recordkeeping regulations. Wall Street firms did not heed them until 2021 when the words became actions and large fines. This special report provides an in-depth look into the wrath of the regulators when it comes to recordkeeping.
This issue provides suggestions for firms that may need to get their recordkeeping in order to avoid regulators knocking on the door. For firms that got a knock on their door, we have compiled a list of major regulatory enforcement actions, including the multi-million dollar penalties paid since the crackdown began. This latest issue of...
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