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Keyword: Electronic records

35 results found
Phone text

Private equity giants hit with SEC texting charges

Regulator settles with 12 firms for a combined US$63.1 million

Gavel and texts

SEC sanctions Robinhood violations

Firms pay US$45 million to settle trade reporting, recordkeeping violations

Magnifying glass on documents

CSA to expand electronic access disclosure model

Regulators aim to address concerns about retail investor protection

rules and regulations

TD, RBC sanctioned by U.S. regulators

Firms charged over unapproved off-channel communications

SEC sanctions advisory firm for private messaging

Off-channel communications hamper regulatory oversight

Disclosure form

CSA adopts electronic access model for company prospectuses

Move aims to reduce the burden of printing and mailing disclosures to investors

CSA to combine disclosure, delivery reforms

Regulators to marry changes to disclosure rules with electronic access

Using phone for finances

SEC, CFTC hit delete on firms’ WhatsApp, texting

Another 10 firms sanctioned for extensive recordkeeping violations

BMO, Wall Street firms sanctioned for app violations

Regulators fined firms a total US$549 million for record-keeping failures

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

SEC modernizes recordkeeping rules

Changes aim to adapt regulator's requirements to tech innovation