WebDec 17, 2024 · The Securities and Exchange Commission today announced charges against J.P. Morgan Securities LLC (JPMS), a broker-dealer subsidiary of JPMorgan Chase & … WebDec 7, 2024 · CFTC Sanctions UBS for failure to retain communication With the increasing use of technology in the financial sector, the regulatory landscape is continuously changing. In the twenty-first century, businesses cannot remain competitive without taking advantage of communication channels. In regulating the financial markets, the CFTC plays a key role.
JPMorgan fined $200 million for letting workers use WhatsApp to ... - CNBC
Web• CFTC Regulation 23.502 governs requirements for SD obligations to conduct portfolio reconciliations • An area NFA has been reviewing in recent exams • Includes several components: • Requires each SD to agree in writing to the terms of portfolio reconciliation with each of its counterparties • Establishes frequency requirements for portfolio … WebThe Government routinely intercepts and monitors communications and information on this system, for example, to address security vulnerabilities and other risks. All users of this … nothin chords
U.S. regulators crack down on retention of electronic …
WebSep 16, 2013 · CFTC Regulation 1.35 (a) requires FCMs, IBs, and RFEDs 1 to keep full, complete, and systematic records, which include all pertinent data and memoranda, of all … WebThe Advisory explains that the recordkeeping and retention requirements of CFTC Rules 1.31 and 1.35 are applicable generally to records that are created or retained in an electronic format, including email, instant messaging, and other forms of communication that are created or transmitted electronically. WebJul 9, 2024 · This communication is intended solely for the information and use of management, [identify the body or individuals charged with governance], others within the organization, the CFTC, [designated self-regulatory organization], and other regulatory agencies that rely on Regulation 1.16 of the CFTC in their regulation of registered nothin crossword