The importance of meticulous documentation in the ever changing world of financial regulation cannot be emphasized. This has been highlighted by recent enforcement actions by the Commodity Futures Trading Commission (CFTC) and the U.S. Securities and Exchange Commission (SEC), with Wall Street businesses facing fines surpassing $1.5 billion for violations of recordkeeping regulations.
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Finastra introduces a small business DFA 1071 compliance data gathering module.
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