CellTrust Blog Another twenty-six firms fined over $390 Million collectively for widespread recordkeeping failures

On August 14, the US Securities and Exchange Commission (SEC), fined another twenty-six firms more than $390 Million combined for widespread recordkeeping failures SEC investigators continue to uncover longstanding use of unapproved, off-channel communications within the financial services sector with widespread recordkeeping failures. The SEC found that staff at the firms sent and ... Continue reading Another twenty-six firms fined over $390 Million collectively for widespread recordkeeping failures →The post Another twenty-six firms fined over $390 Million collectively for widespread recordkeeping failures appeared first on CellTrust.