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Recordkeeping: Recent Rule Amendments and Other Developments  

Author:  Michael Philipp.; Akshay Belani.; Christine Lombardo.; Sarah Riddell.

Source: Volume 51, Number 05, March 1 2018 , pp.55-62(8)

Review of Securities & Commodities Regulation

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The CFTC recently adopted amendments to Regulation 1.31, in an effort to bring recordkeeping requirements for market participants up-to-date with technological advances. The CFTC has also addressed recordkeeping rules for CPOs and CPAs. In a recent rulemaking, the SEC expanded its requirements that registered investment advisers maintain records relating to performance information distributed to any person. The authors describe these changes and then discuss recent CFTC recordkeeping violation cases involving block trades, EFRPs, and audit trails.

Keywords: CFTC Regulation 1.31; Regulation 1.35; Recordkeeping, 82 Fed. Reg. 24,479; Rules for CPOs and CTAs; CFTC Enforcement Actions

Affiliations:  1: Morgan, Lewis & Bockius LLP; 2: Morgan, Lewis; 3: Morgan, Lewis; 4: Morgan, Lewis.

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