What to expect for off-channel communication regulations moving forward
Provided by Grant ThorntonNew focus from SEC, CFTC requires more data collection Regulator Expectations for Off-Channel Communications Going ForwardThis year, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have fined 10 broker-dealer firms and one financial institution a total of $289 million due to a failure to maintain and preserve…