We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation ...

The firms’ “employees routinely communicated about business matters using text messaging applications on their personal devices,” but their employers failed to keep an official record of a ...

CFTC, on the other hand, imposed a fine of $260 million on four banks for failing to adhere to the agency's record-keeping requirements. This combined effort by regulators demonstrates their ...

it has become more difficult for broker-dealers and investment advisers to meet the record-keeping requirements. Even though official communication channels generate automatically archived records ...

"Today's actions — both in terms of the firms involved and the size of the penalties ordered — underscore the importance of record-keeping requirements: they're sacrosanct," said Gurbir Grewal, ...

To avoid any complications, it’s best to consult a CPA or professional to understand the record retention requirements for certain organizations or entities. Courtney Kincaid, President and CEO ...

Brokers need personal information to comply with tax laws, anti-money laundering regulations, anti-terrorist financing requirements, record-keeping procedures, and to determine suitable investments.

The government alleged that the pharmacy failed to comply with various record-keeping requirements, including the failure to validate DEA registrations. This led to resulting in prescriptions ...

The University at Buffalo (UB, university) requires retention of university records, regardless of format, for specific periods of time in accordance with federal, state, and other legal and ...