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Enforcement Roundup - Regulators Remain Focused On All Aspects Of Recordkeeping - Security
What does the fining of a major Wall Street firm for trade surveillance failures, the holding to personal account of the CEO of a UK bank, the impact of cyber security incidents at a pair of broker dealers.
United-kingdom
Financial-industry-regulatory-authority
Webex
Office-of-the-comptroller
Communications-governance
Microsoft
Initiative-requirements-oireqs
Prudential-regulation-authority
Commodity-futures-trading-commission
Wall-street
Federal-reserve-board
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