Thanks for posting this, Peter. This document really gives financial 
services RM's a good picture of what FINRA's expectations are. (clue: they 
don't stop with just retention).

In FINRA's press release re: this case there is a quote from their Chief 
Enforcement Officer that I have printed and posted on my wall:

"Ensuring the integrity, accuracy and accessibility of electronic books 
and records is essential to a firm's ability to meet its compliance 
obligations."

We RM's couldn't have said it better ourselves.

Happy New Year,
Gary


<<
here is the link to the agreement between FINRA and Barclay's concerning
Barclay's failure to maintain records

http://bit.ly/1ch7MLO

[log in to unmask]" target="_blank">https://www.finra.org/web/groups/industry/@ip/@[log in to unmask]

>>



The contents of this email are the property of PNC. If it was not addressed to you, you have no legal right to read it. If you think you received it in error, please notify the sender. Do not forward or copy without permission of the sender. This message may contain an advertisement of a product or service and thus may constitute a commercial electronic mail message under US Law. The postal address for PNC is 249 Fifth Avenue, Pittsburgh, PA 15222. If you do not wish to receive any additional advertising or promotional messages from PNC at this e-mail address, click here to unsubscribe. https://pnc.p.delivery.net/m/u/pnc/uni/p.asp 
By unsubscribing to this message, you will be unsubscribed from all advertising or promotional messages from PNC. Removing your e-mail address from this mailing list will not affect your subscription to alerts, e-newsletters or account servicing e-mails.



List archives at http://lists.ufl.edu/archives/recmgmt-l.html
Contact [log in to unmask] for assistance
To unsubscribe from this list, click the below link. If not already present, place UNSUBSCRIBE RECMGMT-L or UNSUB RECMGMT-L in the body of the message.
mailto:[log in to unmask]