Building A Robust CFTC and NFA Record Keeping Program

In last months article, Turnkey Trading Partners (“Turnkey”) discussed Critical CFTC Supervision and Record-Keeping Tips, emphasizing the significance of record-keeping and supervision specific to internal and client communications leading to…

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Critical CFTC Supervision and Record Keeping Tips

Over the past year major financial institutions have paid over $1 Billion in fines for record keeping violations. Many of the fines were due to the inability to monitor digital communications. One of these firms, HSBC, recently took a bold step to cover off the regulatory risks of having staff using text messages. Discover how they’re cracking down, and decide if your firm should be too. Please read more here.